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Broker records
2,290 records on file, newest first
2022-09-09 /CRD 6270312 /AK
Ronald Coy Bailey Jr. Suspended 12 Months for Private Securities Transaction and OBA Violations
Participated in undisclosed private securities transaction, engaged in unapproved OBAs, and distributed misleading communications
2022-09-08 /CRD 7449 /VA
Canaccord Genuity Fined $200,000 for Private Placement Supervision Failures
Failed to supervise private placement sales and suitability, failed to file required documents, and allowed unregistered activity
2022-09-07 /CRD 6181357 /TX
Crystal Turk Suspended for Negligent Misrepresentations in COVID-19 Loan Application
Made negligent misrepresentations in SBA loan application regarding business status and revenues
2022-09-06 /CRD 1332507 /CA
James Edward Gingles Suspended for Taking Unreimbursed Loans from Senior Customers
Took loans from senior customers totaling $16,500 without firm approval and failed to repay $15,985.10
2022-09-02 /CRD 168172 /CA
Acorns Securities Fined $200,000 for Inaccurate Customer Account Statements
Sent inaccurate account statements and maintained inaccurate books and records
2022-09-02 /CRD 205 /IN
Sanctuary Securities Fined $60,000 for Failing to Disclose Material Information
Failed to disclose that issuers had not timely filed required SEC documents
2022-09-02 /CRD 5901185 /NJ
Russ Kory Suspended for Unsuitable Recommendations of Illiquid Limited Partnerships
Made unsuitable recommendations of illiquid limited partnerships to customers
2022-09-01 /CRD 35371
American Portfolios Ordered to Pay $4.6 Million for Bank Deposit Program Fee Overcollection
Inaccurate fee calculations and undisclosed interest retention in bank deposit program
2022-09-01 /CRD 862738 /FL
John Charles Barnes Suspended for Unauthorized Discretionary Trading
Exercised discretion in customer accounts without written authorization or firm acceptance
2022-09-01 /CRD 4865324 /CA
Michael G. Ferrera Jr. Suspended Two Years for Outside Business Activity and False Statements
Engaged in undisclosed outside business activity with elderly customer and made false statements to firm and FINRA
2022-08-31 /CRD 8158 /WI
Robert W. Baird Fined $150,000 for Charging Unfair Commissions
Charged unfair and unreasonable commissions on low-principal transactions
2022-08-31 /CRD 4875997 /PR
Miguel Murillo Suspended for Excessive Trading
Excessive and unsuitable trading in customer accounts