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Broker records
2,290 records on file, newest first
2022-11-10 /CRD 816 /NY
Credit Suisse Fined $375,000 for LOPR Misreporting
Misreported covered quantity of OTC short positions to LOPR due to coding errors for over eleven years
2022-11-10 /CRD 6148906 /TX
Ellen Reynard Suspended for Falsifying Customer Forms
Falsified customer forms by obtaining signatures on blank forms later completed and submitted to firm
2022-11-09 /CRD 2487298 /MN
Christopher Eriksson Suspended for Undisclosed Borrowing and Outside Business Activities
Borrowed money from customer without firm approval and engaged in undisclosed outside business activities
2022-11-09 /CRD 419023 /FL
Theodore Serure Suspended for Borrowing from Customers Without Firm Approval
Borrowed approximately $7.3 million from customers without firm notice and pre-approval
2022-11-07 /CRD 2314551 /NY
Thomas Ciolek Barred for Refusing FINRA Testimony
Refused to appear for testimony regarding unauthorized electronic signatures on customer documents
2022-11-07 /CRD NY /engaged in undisclosed outside business activities
Joel Plasco Suspended for Undisclosed Private Securities Transactions and Outside Accounts
Participated in undisclosed private securities transactions
2022-11-07 /CRD 5011382 /NC
Christopher Shaw Suspended for Exercising Unauthorized Discretion
Exercised discretion to execute trades without written authorization from customers or firm acceptance
2022-11-04 /CRD 7452 /PA
Vanguard Marketing Fined $50,000 for Accepting Late Option Exercise Instructions
Accepted option exercise instructions after cut-off time and maintained inadequate supervisory procedures
2022-11-04 /CRD 5602776 /CA
Bruce Davis Barred for Failing to Respond to FINRA Investigation
Refused to provide documents and information in FINRA investigation of alleged conversion of firm funds
2022-11-04 /CRD 7190141 /FL
Hans Eveillard Barred for Refusing FINRA Testimony
Refused to appear for on-the-record testimony in FINRA investigation
2022-11-04 /CRD 2692057 /CA
Trevor Saliba Barred for Violating Interim Restrictions and Providing False Information
Caused firm to violate interim restrictions and provided false testimony and falsified documents to FINRA
2022-11-03 /CRD 877 /CA
Wedbush Securities Fined $850,000 for Account Statement and Disclosure Failures
Negligently misrepresented bond default status on account statements and failed to deliver required disclosures