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Broker records
2,290 records on file, newest first
2022-08-30 /CRD 5931863 /MN
Kyle Luebeck Suspended for Improperly Removing Customer Information
Improperly removed non-public customer information
2022-08-29 /CRD 103725 /NY
Lampert Capital Markets Fined $10,000 for Net Capital Calculation Errors
Operated below minimum net capital due to misclassification of assets
2022-08-29 /CRD 5819063 /IL
Simon Granner Suspended for Undisclosed Outside Business
Failed to disclose outside business activity
2022-08-29 /CRD 5282088 /OH
Ossama Helal Suspended for Unapproved Outside Business
Engaged in unapproved outside business activity after denial
2022-08-29 /CRD 4867894 /FL
Christopher Perrillo Suspended for Failing to Disclose Financial Events
Willfully failed to disclose liens, judgment, and bankruptcy on Form U4
2022-08-26 /CRD 4502849 /TX
Doug McKelvey Barred for Refusing to Provide Information About Misappropriation
Refused to provide information about unauthorized activity and misappropriation
2022-08-25 /CRD 5659467 /IL
Temetria Blackburn Suspended for EIDL Loan Misrepresentations
Reckless misrepresentations in EIDL loan application
2022-08-24 /CRD 112494 /NY
Katalyst Securities Fined $15,000 for Net Capital Violations
Conducted business while failing to maintain minimum net capital
2022-08-24 /CRD 44848 /FL
Kovack Securities Fined $210,000 for Failing to Supervise Short-Term Mutual Fund Trading
Failed to supervise short-term mutual fund trading
2022-08-23 /CRD 46987 /FL
ViewTrade Securities Fined $250,000 for AML and Market Access Failures
Failed to establish adequate AML program and market access controls
2022-08-23 /CRD 2939162 /CA
Conrad Branson Suspended for Unauthorized Trading
Unauthorized transactions and discretionary trading
2022-08-22 /CRD 14752 /NC
Capital Investment Group Fined $50,000 for Material Omissions in Private Placement Sales
Failed to disclose material information about private placement offerings