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Broker records
2,290 records on file, newest first
2022-12-22 /CRD 6763782 /CA
Yuvraj Chauhan Suspended Two Years for Creating Fictitious Documents
Created fictitious documents and emails to falsely show authorization for wire transfers stock transfers and account changes
2022-12-21 /CRD 1596560 /CA
Kimberly Nuessmann Suspended 30 Days for Impersonating Deceased Customer
Impersonated deceased customer to authorize IRA distribution and falsely stated customer was not deceased
2022-12-20 /CRD 4759218 /CA
Desiderio Torrez Barred for Refusing to Produce Documents
Failed to produce documents and refused future cooperation in investigation of customer complaint about investment recommendation
2022-12-20 /CRD 3074959 /IL
James Wing Barred for Refusing to Cooperate with Investigation into Expense Conversion
Refused to provide documents and information in investigation of potential conversion of funds through improper expense reimbursements
2022-12-19 /CRD 2922898 /CA
Gary Chang Barred for Refusing to Testify in Misappropriation Investigation
Refused to provide testimony in investigation of alleged misappropriation of funds from client accounts
2022-12-19 /CRD 1796541 /CA
John Matson Barred for Refusing to Cooperate with Investigation into Promissory Notes
Refused to provide documents and information in investigation of customer investments in promissory notes with ceased interest payments
2022-12-16 /CRD 23769 /DE
Coastal Equities Fined $150,000 and Ordered to Pay $268,800 in Restitution for Failing to Disclose Material Information
Negligently failed to disclose material information about delayed financial statement filings and failed to supervise representative
2022-12-16 /CRD 5783951 /NY
Ahmed Gheith Suspended One Month for Violating Private Placement Pre-Existing Relationship Requirements
Solicited private placement investors without pre-existing substantive relationships violating Regulation D requirements
2022-12-16 /CRD 6931802 /MI
Chuanbing Rong Suspended Two Months for Undisclosed Insurance Business
Failed to provide prior written notice of outside business activity selling insurance and fixed annuities earning $168000
2022-12-15 /CRD 7059 /NY
Citigroup Global Markets Fined $1.5 Million for Regulation SHO Violations
Improperly included non-broker-dealer affiliates in aggregation units and failed to timely address Regulation SHO deficiencies
2022-12-14 /CRD 23940 /KS
OFG Financial Services Fined $45,000 for Email Supervision Failures
Failed to establish reasonable supervisory system for reviewing electronic communications
2022-12-14 /CRD 1703163 /IN
David Brendza Suspended Six Months for Falsifying Representative Codes
Falsified representative codes on trades causing inaccurate books and records and improper commission allocation