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Broker records
2,290 records on file, newest first
2022-11-15 /CRD 2693672 /NY
Wilfredo Felix Barred for Failing to Respond to FINRA Requests
Failed to respond to multiple FINRA requests for information and documents
2022-11-15 /CRD 6900424 /FL
Raymi Nodarse Valdes Barred for Refusing Testimony About Undisclosed Private Securities Transactions
Refused to provide testimony regarding alleged undisclosed participation in private securities transactions
2022-11-15 /CRD 2022-11-15 /3500
Joan Burgio Suspended for Undisclosed Outside Business Activities
Engaged in undisclosed outside business activities generating approximately $292
2022-11-15 /CRD 5508315 /CO
Blake Ridenour Suspended for Falsifying Representative Codes
Falsified representative codes causing inaccurate trade confirmations and improper commission payments
2022-11-14 /CRD 2022-11-14 /35000
Boustead Securities Fined for Customer Information Collection Failures
LLC
2022-11-14 /CRD 1292048 /AZ
John Selleh Suspended for Assisting Representative in Providing False Information
Assisted representative in providing false information to firm and initially lied to own firm about involvement
2022-11-11 /CRD 142873 /NJ
Clearview Trading Advisors and Gregg Ettin Sanctioned for AML Failures
Failed to establish adequate AML compliance program and supervisory system for low-priced securities
2022-11-11 /CRD 1112312 /CA
Allen Hershberg Barred for Failing to Provide Information About Undisclosed Investments
Refused to provide information regarding unapproved outside real estate investments recommended to clients
2022-11-11 /CRD 2469994 /WI
James Kondrasuk Barred for Refusing to Provide Information About Check Fraud Allegation
Refused to provide information regarding allegation of attempting to deposit check drawn on non-existent account
2022-11-11 /CRD 2243462 /NY
Hinman Au Suspended for AML Program and Supervisory Failures
Failed to establish adequate AML program and failed to reasonably supervise for manipulative trading
2022-11-11 /CRD 1674570 /FL
Douglas Kaiser Suspended for Failing to Supervise Markups and Markdowns
Failed to supervise markups and markdowns for U.S. Treasury securities transactions
2022-11-11 /CRD 1353552 /OH
Michael Lancaster Suspended for Unsuitable Recommendation and Attempted Settlement
Recommended unsuitable investment and made unauthorized settlement payments to customer while falsely denying doing so