The database
Broker records
2,290 records on file, newest first
2025-12-03 /CRD 42607 /NJ
Navaid Financial Services Fined $35,000 for Municipal Securities Reporting Violations
Failure to include NTBC indicator in municipal securities reporting
2025-12-02 /CRD 19714 /NY
Barclays Capital Inc. Fined $325,000 for Outside Brokerage Account Supervision Failures
Failure to supervise employee outside brokerage accounts
2025-12-02 /CRD 2495723 /TX
Charles Jerry Lewis Jr. Suspended One Month for Submitting Fictitious Expense Claims
Submitting fictitious expense claims
2025-12-01 /CRD 19418 /NY
Intesa Sanpaolo IMI Securities Corp. Fined $125,000 for TRACE Reporting Failures
TRACE reporting failures and inadequate supervision
2025-11-26 /CRD 16686 /NY
BMO Capital Markets Fined $300,000 for TRACE Reporting Violations
TRACE reporting violations and inadequate supervision
2025-11-26 /CRD 1110989 /CT
Christopher Ziogas Barred for Refusing to Respond to FINRA Investigation
Failure to respond to FINRA investigation
2025-11-24 /CRD 2174697 /NC
James Eugene Holmes III Suspended for Unsuitable Options Trading and Unauthorized Discretion
Unsuitable options trading and unauthorized discretion
2025-11-24 /CRD 2366513 /MA
Timothy Richard Jones Suspended for Making Unfunded Transfers to Credit Card
Fraudulent unfunded transfers to exceed credit card limits
2025-11-24 /CRD 4336146 /Spartan Capital Securities LLC
Spartan Capital Securities Complaint – Alleged Reg BI Violations and Fraud
Alleged Reg BI violations and fraudulent misrepresentations
2025-11-24 /CRD 2528972 /Spartan Capital Securities LLC
Spartan Capital Securities Complaint – Kim Marie Monchik Alleged Supervisory Failures
Alleged supervisory failures and Reg BI violations
2025-11-21 /CRD 4297 /NY
Nomura Securities Fined $625,000 for Regulation SHO Violations
Regulation SHO violations and inadequate supervision
2025-11-21 /CRD 149823 /NY
Virtu Americas Fined $675,000 for Risk Management Control Failures
Inadequate risk management control documentation and supervision