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Broker records
2,290 records on file, newest first
2022-09-21 /CRD 6967113 /MD
Jimmie Scott Griffea Suspended for Failure to Disclose Criminal Charge on Form U4
Willfully failed to amend Form U4 to disclose misdemeanor theft charge
2022-09-20 /CRD 42360 /NY
IBN Financial Services Fined $30,000 for Outside Business Activity Supervision Failures
Failed to supervise and evaluate whether outside business activities constituted outside securities activities
2022-09-19 /CRD 7025143 /FL
Jared Winston Barred for Converting Firm Funds Through Fraudulent Expense Reimbursements
Converted approximately $2,000 from firm through fraudulent childcare expense reimbursement claims
2022-09-16 /CRD 47927 /CT
Vision Brokerage and Vision Financial Markets Fined $850,000 for AML and Supervision Failures
Failed to implement adequate AML program and failed to supervise for manipulative trading and erroneous orders
2022-09-16 /CRD 867502 /TX
Raymond Ellis Jennison Jr. Barred for Refusing to Testify
Refused to appear for on-the-record testimony requested by FINRA
2022-09-16 /CRD 6168816 /CA
Solomon Wei-En Hua Suspended One Year for Unsuitable NIPs Recommendations and Misleading Communications
Recommended unsuitable NIPs without reasonable basis, sent misleading communications, altered offering documents, and used personal phone for business
2022-09-15 /CRD 6714280 /MO
Daniel Shawn Murff Suspended for Providing Unauthorized Customer Compensation
Provided cash compensation to elderly customer for CD losses without obtaining firm authorization
2022-09-13 /CRD 6103092 /NY
Peng Zhang Suspended for Causing Incomplete Books and Records
Used instant messaging and personal email for securities business without retaining copies for firm preservation
2022-09-09 /CRD 123649 /CA
Glendale Securities Fined $50,000 for AML Program Failures
Failed to develop and implement adequate AML compliance program to detect suspicious trading
2022-09-09 /CRD 2509 /NY
MM Global Securities Fined $450,000 and Prohibited from Market Access for AML Failures
Failed to implement adequate AML program, failed to supervise for market manipulation, and failed to preserve communications
2022-09-09 /CRD 133763 /AZ
SagePoint Financial Fined $35,000 for Failure to Supervise Margin Trading
Failed to supervise unsuitable margin trading in customer accounts
2022-09-09 /CRD 5872600 /TX
Dusty Lynn Sternadel Barred for Refusing to Cooperate with FINRA Investigation
Refused to appear for testimony and produce documents in FINRA investigation regarding misappropriation of client funds