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Broker records
2,290 records on file, newest first
2023-01-13 /CRD 146122 /CA
FINRA Fines Electronic Transaction Clearing $150,000 for Short Interest Reporting Failures
Failed to accurately report short interest positions
2023-01-13 /CRD 4297 /NY
FINRA Fines Nomura Securities $125,000 for Net Capital and Customer Reserve Violations
Failed to accurately calculate net capital
2023-01-12 /CRD 38912 /NY
FINRA Fines Corinthian Partners $10,000 for Self-Supervision Failures
Failed to prevent self-supervision of trading
2023-01-12 /CRD 5611 /IL
FINRA Fines Insight Securities $25,000 for NT-ETP Supervision Failures
Failed to supervise NT-ETP suitability
2023-01-10 /CRD 4707468 /AZ
FINRA Issues Decision Against David Hixon for Failing to Provide Loan Documents (Appeal Pending)
Failed to provide documents to FINRA
2023-01-09 /CRD 111747 /IL
FINRA Fines Deloitte Corporate Finance $200,000 for Failing to Retain iMessages
Failed to retain business-related text messages
2023-01-09 /CRD 4673625 /FL
FINRA Suspends Clinton Byrd 9 Months for $550,000 Undisclosed Private Securities Transaction
Undisclosed private securities transaction
2023-01-05 /CRD 132915 /SC
FINRA Fines Sequence Financial $17,500 for Failing to Reconfirm Extended Offering
Failed to reconfirm extended contingency offering
2023-01-05 /CRD 7654 /NY
FINRA Fines UBS Securities $3.75 Million for Options Reporting Failures
Failed to accurately report options positions
2023-01-05 /CRD 4522269 /CA
FINRA Suspends Scott Smith 12 Months for $78,000 Undisclosed Borrowing from Elderly Customer
Undisclosed borrowing from customer
2023-01-04 /CRD 145317 /NY
FINRA Fines Blaylock Van $50,000 for Failing to Detect Pre-Arranged Trading
Failed to detect pre-arranged trading
2023-01-04 /CRD 5640324 /IL
FINRA Suspends Kevin Klickna 3 Months for Forging Customer Signature
Forged customer signature