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Broker records
2,290 records on file, newest first
2022-08-22 /CRD 2606438 /NY
Louis Ottimo Barred for Fraudulent Omissions in Private Placement
Fraudulent omissions in private placement memorandum and failure to disclose liens and bankruptcy
2022-08-22 /CRD 1849321 /NY
Michael Desando Suspended for Excessive Trading
Excessive and unsuitable trading in customer account
2022-08-22 /CRD 5872439 /NY
Michael Venturino Charged with Churning Customer Accounts
Alleged churning and unauthorized trading
2022-08-19 /CRD 1621649 /NY
Bryon Martinsen Suspended for Undisclosed Private Securities Transactions
Participated in undisclosed private transactions and shared in customer losses
2022-08-19 /CRD 2672840 /NY
Efthimios Petrou Suspended for Excessive Trading
Excessive and unsuitable trading in customer account
2022-08-19 /CRD 4206075 /TX
Michael Witt Suspended for Misassigning Representative Codes
Caused inaccurate books and records by misassigning representative codes
2022-08-18 /CRD 138033 /IL
Gar Wood Securities Fined $100,000 for Locate and Trade Reporting Violations
Failed to obtain locates for short sales and misreported trade capacity
2022-08-18 /CRD 2932226 /FL
Yan Binder Suspended for Unapproved Text Messages
Used unapproved text messages for securities business
2022-08-18 /CRD 6759879 /FL
Daniel Pita Charged with Failing to Provide Information About Outside Business
Alleged failure to provide information about outside business activities
2022-08-17 /CRD 8209 /NY
Morgan Stanley Fined $250,000 for Short Sale Reporting Failures
Failed to report short sale indicators for equity transactions
2022-08-16 /CRD 2291911 /FL
Francis Velten Barred for Refusing to Provide Documents About Annuity Flipping
Refused to provide documents about churning and flipping elderly customers' annuities
2022-08-15 /CRD 26580 /NY
Axiom Capital Fined $40,000 for Inadequate Due Diligence of Private Placement
Failed to conduct reasonable due diligence for private placement