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Broker records
2,290 records on file, newest first
2023-04-04 /CRD 104138 /NJ
SpeedRoute Fined $45,000 for Improperly Accepting Market Orders in New Issues
Improperly accepted market orders for new issues, failed to maintain adequate supervisory procedures
2023-04-03 /CRD 1765551 /CA
Larry Norton Suspended 30 Days for Undisclosed Private Securities Transactions
Participated in private securities transactions without prior written notice
2023-03-31 /CRD 1707708 /NY
Dana H. Davis Suspended and Ordered to Pay Restitution for Unsuitable Margin Trading Recommendations
Recommended unsuitable margin trading to inexperienced customers
2023-03-29 /CRD 115333 /WI
Baker Tilly Capital Sanctioned for Material Changes to Private Placement Offerings
Permitted material changes to private placement offerings without terminating and returning funds
2023-03-29 /CRD 3222378 /NY
Olivier Robert Gillier Suspended for Undisclosed Private Securities Transactions
Participated in undisclosed private securities transactions
2023-03-29 /CRD 2709882 /NY
Andrew Justin Grant Suspended for Exercising Unauthorized Discretion
Exercised unauthorized discretionary authority in customer accounts
2023-03-28 /CRD 6429670 /HI
Sukthavy Sisamouthp Barred for Refusing to Cooperate with Investigation
Refused to provide information and testimony regarding cash removal allegations
2023-03-28 /CRD 4587943 /FL
Roman Meyerhans Suspended for Using Unapproved Messaging Application
Used unapproved instant messaging application for customer communications
2023-03-27 /CRD 1134141 /PA
FINRA Disciplinary Action: Donald Lee Smith Suspension Lifted After Arbitration Compliance
Failure to comply with arbitration award (Rule 9554); suspension lifted after compliance
2023-03-27 /CRD 39455 /NatAlliance Securities, LLC
NatAlliance Securities and Jason Adams Sanctioned for Supervisory Failures
Failed to supervise bond trader and maintain accurate books and records
2023-03-27 /CRD 104065 /FL
Newbridge Securities Fined for Failing to Supervise Alternative Mutual Fund Recommendations
Failed to supervise alternative mutual fund recommendations
2023-03-21 /CRD 4031 /PA
Hornor Townsend & Kent Sanctioned for Failing to Supervise Unapproved Outside Business Activity
Failed to supervise unapproved outside business activity