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Broker records
2,290 records on file, newest first
2023-01-23 /CRD 2241817 /CA
FINRA Suspends Jay Eng 20 Days for Impersonating Customer and Retaining Customer Information
Impersonated customer and retained customer information
2023-01-23 /CRD 4837498 /CT
FINRA Suspends Altin Tirana 3 Months for Falsifying Representative Codes
Falsified representative codes
2023-01-20 /CRD 19801 /NY
FINRA Fines BGC Financial $175,000 for Treasury Securities Reporting Violations
Failed to report execution times accurately
2023-01-20 /CRD 5670 /OR
FINRA Fines Paulson Investment $150,000 and Orders $185,215 Restitution for Unsuitable VRSP Recommendations
Failed to supervise unsuitable VRSP recommendations
2023-01-20 /CRD 4040459 /CA
FINRA Suspends William Massarweh 1 Year for Undisclosed Outside Business Activity and Improper Fund Transfer
Undisclosed outside business activity and improper fund transfer
2023-01-19 /CRD 20576 /NY
FINRA Fines Hunnicutt & Co. $10,000 for Failing to Conduct AML Testing
Failed to conduct independent AML testing
2023-01-19 /CRD 877 /CA
FINRA Fines Wedbush Securities $975,000 for Failing to Review for Manipulative Trading
Failed to review for manipulative trading
2023-01-19 /CRD 6372903 /KY
FINRA Bars Matthew Gary Barks for Refusing to Testify
Refused to appear for FINRA testimony
2023-01-19 /CRD 2341570 /TX
FINRA Suspends David Test 2 Months for Forging Customer Initials
Forged customer initials
2023-01-18 /CRD 5079080 /MI
FINRA Suspends Delmar Moore 3 Months for Failing to Disclose Regulatory Action
Failed to disclose regulatory action
2023-01-17 /CRD 4487222 /FL
FINRA Bars Suzanne Charrin for Providing False Information About CBD Business
Provided false information to FINRA
2023-01-17 /CRD 6924720 /VA
FINRA Bars Jordan Palmer John for Failing to Produce Documents
Failed to produce documents to FINRA