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Broker records
2,290 records on file, newest first
2025-11-20 /CRD 119037 /United Kingdom
Laidlaw & Company Fined $200,000 for Net Capital Violations and Escrow Failures
Net capital violations and escrow account failures
2025-11-20 /CRD 2709698 /NY
Gustave James Schmidt Jr. Complaint – Alleged Undisclosed Compensation and Reg BI Violations
Alleged undisclosed compensation and Reg BI violations
2025-11-20 /CRD 119037 /United Kingdom
Laidlaw & Company Fined $200,000 for Net Capital Violations and Escrow Failures
Net capital violations and escrow account failures
2025-11-19 /CRD 2525 /NY
Deutsche Bank Securities Fined $2.5 Million for Research Report Disclosure Failures
Research report disclosure violations and inadequate supervision
2025-11-19 /CRD 6387371 /NC
Mark Allen Carter Suspended 9 Months for Excessive Options Trading Violating Reg BI
Excessive options trading violating Reg BI and unauthorized discretion
2025-11-19 /CRD 5472965 /NJ
Luis S. Jean-Bart Suspended 10 Months for Delayed Responses to FINRA
Failure to timely respond to FINRA requests
2025-11-19 /CRD 2959057 /CA
James Daniel Lang Suspended for Multiple Undisclosed Outside Business Activities
Multiple undisclosed outside business activities and false compliance attestations
2025-11-18 /CRD 21000 /MN
Oakwood Capital Securities Fined $20,000 for Failing to Surveil Variable Annuity Exchanges
Failure to supervise variable annuity exchange rates
2025-11-18 /CRD 1583582 /IA
Barry Luther Buchholz Suspended for Unauthorized Trading in Customer Accounts
Unauthorized trading in customer accounts
2025-11-17 /CRD 1229733 /CA
Michael Cheng Ning Barred for Failing to Produce Documents as Custodian
Failure to produce documents as custodian
2025-11-17 /CRD 2157707 /OH
Stephen Michael Franko Suspended for Unsuitable Bond Recommendations Violating Reg BI
Unsuitable bond recommendations violating Regulation Best Interest
2025-11-17 /CRD 1508288 /OH
Thomas Gregory Scheiman Suspended for Unsuitable Bond Recommendation Violating Reg BI
Unsuitable bond recommendation violating Regulation Best Interest