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Broker records
2,290 records on file, newest first
2023-01-31 /CRD 2462752 /NY
FINRA Suspends Edward Short 7 Months and Orders $116,859 Restitution for Excessive Trading
Excessive trading (churning)
2023-01-30 /CRD 705 /FL
FINRA Fines Raymond James $300,000 for Inaccurate Trade Confirmations
Sent inaccurate trade confirmations
2023-01-30 /CRD 5760255 /NJ
FINRA Bars Patrick Matlock for EIDL Fraud and Outside Business Activity Violations
EIDL fraud and outside business activity violations
2023-01-30 /CRD 1160413 /FL
FINRA Suspends Robert Henderson 13 Months for Undisclosed Outside Business Activities and Form U4 Violations
Undisclosed outside business activities and Form U4 violations
2023-01-27 /CRD 3420 /CT
FINRA Fines Herbert J. Sims & Co. $100,000 for Failing to Review Cyber-Events for AML
Failed to review cyber-events for AML
2023-01-27 /CRD 2113736 /TX
FINRA Bars Robert Turner for Selling Fake Annuities in $7.2 Million Fraud
Selling away and fraud
2023-01-26 /CRD 2491980 /Canada
FINRA Bars Sean Boswick for Refusing to Provide Bank Statements
Refused to provide documents to FINRA
2023-01-26 /CRD 6963909 /PA
FINRA Bars Daniel Kiely for Refusing to Testify
Refused to appear for FINRA testimony
2023-01-24 /CRD 23131 /NJ
Royal Alliance, SagePoint, and Securities America Ordered to Pay Over $500,000 for 529 Plan Sales Charge Failures
Failed to apply 529 plan sales charge waivers
2023-01-24 /CRD 133763 /AZ
Royal Alliance, SagePoint, and Securities America Ordered to Pay Over $500,000 for 529 Plan Sales Charge Failures
Failed to apply 529 plan sales charge waivers
2023-01-24 /CRD 10205 /NE
Royal Alliance, SagePoint, and Securities America Ordered to Pay Over $500,000 for 529 Plan Sales Charge Failures
Failed to apply 529 plan sales charge waivers
2023-01-23 /CRD 7096388 /MD
FINRA Bars Imani Bailey for Converting $1,384 from Customer Bank Account
Converted customer funds