The database
Broker records
2,290 records on file, newest first
2023-02-07 /CRD 137862 /NJ
SageTrader Fined $100,000 for Anti-Money Laundering Program Failures
Failed to maintain adequate anti-money laundering program and procedures
2023-02-07 /CRD 2362467 /CA
Robin Bailey Liebes Suspended for Inaccurate Trade Records
Caused firm to maintain inaccurate books and records by using incorrect representative codes on trades
2023-02-06 /CRD 39326 /SC
BNA Wealth Fined for Conducting Unregistered Municipal Securities Business
Conducted municipal securities business without MSRB registration and sold private placements without authorization
2023-02-06 /CRD 4025159 /CO
Adam James Makkai Sanctioned for Paying Unregistered Person
Paid securities transaction-based compensation to unregistered person without firm approval
2023-02-03 /CRD 7654 /NY
UBS Securities Fined $475,000 for Inaccurate Execution Quality Reports
Published inaccurate Rule 605 execution quality reports due to coding errors and inadequate supervision
2023-02-03 /CRD 7153846 /NY
Jong Ik Lee Suspended for Improper Expense Reimbursements
Improperly obtained expense reimbursements by using wrong project codes and altering receipts
2023-02-01 /CRD 1861277 /MI
Archie Abel Blood Jr. Suspended for Private Securities Transactions
Participated in private securities transactions without firm notification and falsely attested to non-participation
2023-02-01 /CRD 5284151 /OR
Roger Lee Arnold Accused of Failing to Provide Information to FINRA
Alleged failure to provide information regarding unauthorized redemption from wife's account
2023-01-31 /CRD 1191939 /NY
FINRA Bars Kenneth Byrne for Refusing to Testify About Trade Suitability
Refused to appear for FINRA testimony
2023-01-31 /CRD 2813139 /WI
FINRA Suspends Robert Boschke 30 Days for Impersonating Customer
Impersonated customer
2023-01-31 /CRD 4367351 /NJ
FINRA Suspends Steven Brettler 3 Months for Falsifying Representative Codes
Falsified representative codes
2023-01-31 /CRD 2396336 /NY
FINRA Suspends Todd Cirella 3 Months and Orders $27,566 Restitution for Excessive Trading
Excessive trading (churning)