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Broker records
2,290 records on file, newest first
2023-02-17 /CRD 119037 /England
Laidlaw & Company Fined $200,000 for Net Capital Violations and Due Diligence Failures
Operated with net capital deficiencies, filed inaccurate financial reports, and failed to conduct adequate private placement due diligence
2023-02-16 /CRD 6959564 /GA
Blake Eskew Barred for Refusing FINRA Testimony
Refused to appear for FINRA testimony regarding allegations of email alteration and unauthorized trading
2023-02-16 /CRD 1589414 /NY
Bradley Carl Reifler Barred for Failing to Respond to FINRA Requests
Failed to respond fully to FINRA information requests and provided incomplete testimony regarding closed-end interval fund
2023-02-16 /CRD 7097895 /OR
Paul James Trone Barred for Refusing FINRA Testimony
Refused to appear for FINRA testimony regarding allegations of unauthorized computer system access
2023-02-16 /CRD 2736849 /NY
Lon Charles Faccini Jr. Suspended for Excessive and Unsuitable Trading
Engaged in excessive and unsuitable trading using margin, causing customer losses and excessive costs
2023-02-15 /CRD 4577898 /NY
Michael Ciro Colletti Accused of Unauthorized and Excessive Trading
Alleged unauthorized trading and excessive churning in elderly customer's account
2023-02-14 /CRD 26586 /Quint Capital Corporation
Quint Capital Corporation and Alexander Norman Quint Sanctioned for Allowing Disqualified Individual to Work
Permitted statutorily disqualified individual to work without proper authorization
2023-02-10 /CRD 31148 /NY
Long Island Financial Group Fined for Regulation Best Interest Failures
Failed to establish adequate policies and procedures for Regulation Best Interest and Form CRS compliance
2023-02-10 /CRD 42150 /PA
Fortune Financial Ordered to Pay $637,355 in Restitution for Variable Annuity Failures
Failed to supervise variable annuity recommendations resulting in $612,172.66 in unsuitable surrender charges to customers
2023-02-10 /CRD 6466410 /IL
Patrick Keith Sloan Suspended for Falsifying Signatures and Unauthorized Discretion
Falsified customer signatures with permission and exercised unauthorized discretion, then falsely attested to compliance
2023-02-09 /CRD 6937503 /TX
Quang Vinh Mai Barred for Refusing FINRA Testimony
Refused to appear for FINRA testimony regarding undisclosed outside business activity allegations
2023-02-07 /CRD 18377 /NY
Rosenblatt Securities Fined for Late Private Placement Filings
Failed to timely file private placement documents with FINRA and lacked adequate supervisory procedures