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2,290 records on file, newest first
2022-09-29 /CRD 2932198 /NJ
Lisa Maria Idlett Suspended Six Months for Failing to Respond to FINRA
Failed to timely respond to FINRA requests for information and documents during investigation
2022-09-28 /CRD 8209 /NY
Morgan Stanley Fined $500,000 for Regulation M Filing Failures
Failed to submit accurate and complete Regulation M filings and failed to supervise compliance
2022-09-28 /CRD 4981423 /TX
Nickolay V. Kukekov Suspended for Undisclosed Outside Business Activities
Engaged in outside business activities as director and CEO without providing prior written notice to firm
2022-09-27 /CRD 10083 /NJ
Garden State Securities Fined $20,000 for Regulation M Violations
Violated Regulation M by soliciting purchases during restricted period and failed to supervise compliance
2022-09-27 /CRD 877 /CA
Wedbush Securities Fined $900,000 for Regulation SHO Violations
Failed to comply with Regulation SHO close-out requirements and failed to supervise compliance
2022-09-27 /CRD 1597042 /FL
Michael Glenn Seymour Suspended for Failing to Supervise UIT and Alternative Investment Sales
Failed to supervise registered representative's UIT and alternative investment recommendations despite knowledge of issues
2022-09-26 /CRD 114993 /TX
Crescent Securities Fined $30,000 for Fair Pricing Supervision Failures
Failed to supervise and ensure fair pricing of inverse floating rate CMO transactions
2022-09-26 /CRD 830330 /IL
Daniel Richard Hajduk Barred for Refusing to Testify About Customer Trades
Refused to provide testimony about customer trades during FINRA examination
2022-09-26 /CRD 5918186 /MD
Miche D. Jean Suspended for Unauthorized Discretion and Recordkeeping Violations
Exercised unauthorized discretion in customer accounts and failed to preserve business-related text messages
2022-09-23 /CRD 375 /H.C. Wainwright & Co., LLC
H.C. Wainwright & Co. Fined $1.5 Million for Text Message Preservation Failures
Failed to preserve business-related text messages and failed to supervise employee communications
2022-09-23 /CRD 500336 /FL
Alan Zelig Appelbaum Barred for Refusing to Provide Documents
Failed to provide documents and information in FINRA examination of complex structured product sales
2022-09-23 /CRD 1016040 /PA
Ronald Robert Walchack Barred for Refusing to Testify About Termination
Refused to provide testimony in investigation of termination for recommendations violations, mismarking trade tickets, and unauthorized discretion