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Broker records
2,290 records on file, newest first
2025-12-12 /CRD 4379905 /FL
Richard Stanislaus Routie Barred for Refusing to Testify in Customer Borrowing Investigation
Failure to appear for testimony
2025-12-11 /CRD 282266 /NY
Flow Traders Fined $75,000 for TRACE Reporting Violations
Inaccurate TRACE reporting and supervisory failures
2025-12-11 /CRD 5123703 /FL
Eric A. Fiallo Barred for Failure to Provide Information in Borrowing Investigation
Failure to provide information to FINRA
2025-12-11 /CRD 5319860 /TN
Sam Calvin Nevels Suspended Four Months for Taking Confidential Firm Information
Taking confidential information and falsifying records
2025-12-10 /CRD 283078 /NJ
Moomoo Financial Fined $125,000 for Large Options Positions Reporting Failures
Failure to report Large Options Positions and inadequate supervision
2025-12-10 /CRD 7351555 /NC
Kyle Ray Critcher Suspended Three Months for Negligently Misrepresenting Corporate Bonds as FDIC-Insured
Negligent misrepresentation of corporate bonds as FDIC-insured
2025-12-10 /CRD 3062534 /MN
Paul Richard Meyer Suspended Six Weeks for Exercising Unauthorized Discretion
Exercising discretion without written authorization
2025-12-09 /CRD 3091599 /NJ
Jennifer H. Ceterko Barred for Failure to Cooperate with FINRA Investigation
Failure to provide information and appear for testimony
2025-12-08 /CRD 1257811 /VT
Douglas John McCauley Barred for Failure to Provide Information
Failure to provide information to FINRA
2025-12-08 /CRD 462058 /HI
William Klatoff Weinstein Barred for Failure to Provide Information
Failure to provide information to FINRA
2025-12-05 /CRD 40002 /PA
J. Alden Associates Fined $40,000 for Net Capital Violations
Net capital deficiencies and record-keeping violations
2025-12-05 /CRD 2653439 /DC
Roger Daniel Follis Suspended 45 Days for Off-Channel Communications with Customer
Off-channel communications and incomplete books and records