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Broker records
2,290 records on file, newest first
2023-03-21 /CRD 2428655 /CA
Jeffrey Lance Prince Suspended for Falsifying Representative Codes
Falsified representative codes to receive higher commissions
2023-03-20 /CRD 2935032 /NY
Derek John Rehill Suspended for Preparing Inaccurate Customer Contact Notes
Prepared inaccurate customer contact notes
2023-03-20 /CRD 130116 /MN
BrokerBank Securities and Philip Paul Wright Charged with Allowing Unregistered and Statutorily Disqualified Individual to Conduct Securities Business
Alleged permitting unregistered and disqualified individual to conduct securities business
2023-03-15 /CRD 4655479 /NC
David Shane Simmons Barred for Refusing to Cooperate with Investigation
Refused to produce documents and testimony
2023-03-13 /CRD 7277415 /NY
Crystal Bing Sum Cho Barred for Refusing to Produce Documents
Refused to produce information and documents
2023-03-13 /CRD 2981386 /Mexico
Maria P. Acevez Perez Suspended for Failing to Timely Respond to FINRA Requests
Failed to timely respond to FINRA information requests
2023-03-13 /CRD 6391100 /NY
Brendan Ercole Suspended for Improperly Removing Customer Information
Improperly removed customer non-public personal information
2023-03-10 /CRD 4847560 /PR
Jose Manuel Candelario Padilla Sanctioned for Recommending Non-Traditional ETFs Without Understanding Risks
Recommended leveraged and inverse ETFs without understanding risks
2023-03-10 /CRD 5918186 /MD
Miche D. Jean Charged with Failing to Cooperate and Alleged Customer Conversion
Alleged conversion of customer funds and failure to cooperate with investigation
2023-03-09 /CRD 137862 /NJ
SageTrader Fined for Short Sale Marking and Locate Violations
Mismarked short sale orders and failed to obtain required locates
2023-03-09 /CRD 4267482 /FL
Kevin Andrew Hobbs Barred for Providing Inaccurate Information and Trading Away
Provided inaccurate information to FINRA and engaged in undisclosed private securities transactions
2023-03-09 /CRD 223919 /NY
Gary Mark Goldberg Suspended and Ordered to Pay Restitution for Unsuitable Variable Annuity Recommendations
Made unsuitable variable annuity recommendations to generate higher commissions