The database
Broker records
2,290 records on file, newest first
2022-11-02 /CRD 2022-11-02 /5000
Superior Financial Services Fined for AML Testing Failure
Inc.
2022-11-02 /CRD 5978168 /CA
Yoon Sik Chung Barred for Money Laundering Facilitation
Engaged in unethical conduct by knowingly facilitating money laundering
2022-11-01 /CRD 2022-11-01 /400000
Western International Securities Fined $400,000 for Non-Traded REIT Violations
Inc.
2022-11-01 /CRD 4330879 /NY
Christopher Polinaire Suspended for Excessive and Unsuitable Trading
Engaged in excessive and unsuitable trading in customer accounts resulting in high turnover and costs
2022-10-31 /CRD 31194 /NY
RBC Capital Markets Fined $360,000 for Failing to Timely Review Employee Outside Brokerage Accounts
Failed to timely review employee outside brokerage account statements with backlog of approximately 8,950 unreviewed statements
2022-10-24 /CRD 15794 /NY
BNP Paribas Securities Fined $375,000 for TRACE Over-Reporting and Supervisory Failures
Over-reported U.S. Treasury transactions to TRACE and inadequate supervisory system
2022-10-21 /CRD 4096004 /TX
Keith Todd Ashley Barred for Failing to Respond to FINRA Requests
Failed to respond to FINRA requests in investigation of termination for cause and wire fraud indictment
2022-10-20 /CRD 705 /FL
Raymond James Firms Fined $1.1 Million for Supervisory Failures in Trade Authorization and Commission Overcharge Scheme
Failed to supervise account designation changes and commission overcharge scheme
2022-10-20 /CRD 6694 /FL
Raymond James Financial Services Fined $800,000 for Supervisory Failures
Failed to supervise account designation changes and commission overcharge scheme affecting institutional customers
2022-10-19 /CRD 463 /PA
Janney Montgomery Scott Fined $100,000 for Failing to Supervise Unsuitable Energy Sector Concentration
Failed to supervise unsuitable recommendations resulting in excessive energy-sector concentration
2022-10-19 /CRD 1676712 /CA
Richard Marion Blosser Barred for Refusing to Testify About Customer Trading
Refused to testify about trading in customer accounts and firm supervision
2022-10-19 /CRD 3021614 /NJ
Carlos Leston Barred for Refusing to Provide Information to FINRA
Refused to provide information and documents requested by FINRA