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Broker records
2,290 records on file, newest first
2022-10-18 /CRD 46872 /NJ
E1 Asset Management and Ron Yehuda Itin Sanctioned for Supervisory Failures in Mark-Up Oversight
Failed to reasonably supervise fairness of mark-ups charged to retail customers
2022-10-18 /CRD 2690172 /NY
Mitchell Scott Biernick Barred for Refusing to Provide Testimony
Refused to appear for FINRA testimony regarding suitability of customer transactions
2022-10-17 /CRD 19662 /NJ
Dealerweb Fined $100,000 for TRACE Reporting Failures
Failed to report TRACE transactions with required No Remuneration indicator and inadequate supervision
2022-10-17 /CRD 2282547 /NY
Timothy Patrick Higgins Barred for Failing to Testify in FINRA Investigation
Failed to appear for FINRA testimony in excessive trading investigation
2022-10-12 /CRD 2739 /NY
Scotia Capital Fined $300,000 for Over-Reporting Short Interest Positions
Over-reported short interest positions due to inclusion of non-reportable positions in omnibus accounts
2022-10-06 /CRD 1772762 /NY
Robert Paul Barberis Suspended for Causing Inaccurate Trade Records
Caused firm to maintain inaccurate books and records by changing representative codes on trades
2022-10-04 /CRD 7320122 /NY
Stacee Lei Bradley Suspended for Failing to Disclose Felony Charges
Willfully failed to disclose felony charges on Form U4
2022-10-03 /CRD 2022-10-03 /520000
UBS Securities Fined $520,000 for Improper Aggregation of Foreign Affiliate Positions
UBS Securities LLC
2022-09-30 /CRD 104369 /NJ
Lightspeed Financial Services Fined $25,000 for Options Order Coding Errors
Submitted options orders with inaccurate origin codes and failed to supervise order coding compliance
2022-09-30 /CRD 2579003 /NY
Steven Horn Suspended Seven Months for False Statements in SBA Loan Application
Made reckless misrepresentations in SBA loan application regarding business status and obtained $150,000 loan
2022-09-30 /CRD 5032958 /FL
German Ricardo Mora Suspended for Undisclosed Outside Business Activity and False Attestation
Engaged in outside insurance business activity without notice to firm and falsely attested to accuracy of compliance disclosures
2022-09-30 /CRD 4598158 /WI
Nathan Marek Plumb Suspended Four Months for Undisclosed OBAs and Private Securities Transactions
Engaged in undisclosed outside business activities, continued activities after firm denial, and participated in undisclosed private securities transactions