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Broker records
2,290 records on file, newest first
2022-08-15 /CRD 1010228 /NY
Mark Martino Suspended for Due Diligence Failures in Private Placement
Failed to conduct reasonable due diligence for private placement
2022-08-15 /CRD 5760255 /NJ
Patrick Matlock Charged with EIDL Loan Fraud and Undisclosed Outside Business
Alleged EIDL fraud, undisclosed outside business, and failure to cooperate
2022-08-12 /CRD 5189025 /AZ
Patrick English Barred for Refusing to Testify About Trading Violations
Refused to testify about trading violations and false trade reports
2022-08-12 /CRD 6465746 /PA
Daniel Minich Suspended for Undisclosed Cryptocurrency Hedge Fund Transactions
Participated in undisclosed private securities transactions
2022-08-11 /CRD 6413 /SC
LPL Financial Fined $300,000 for Customer Reserve Calculation Failures
Failed to accurately calculate customer reserve requirement
2022-08-11 /CRD 6475567 /TX
Annetta Box Barred for Refusing to Provide Information About Outside Business
Refused to provide information about outside business activities
2022-08-11 /CRD 5553180 /CO
Zachary Hansen Suspended for Unapproved Text Messages
Used unapproved text messages for securities business
2022-08-10 /CRD 128351 /NY
SG Americas Securities Fined $325,000 for Options Reporting Failures
Failed to accurately report OTC options positions to LOPR
2022-08-10 /CRD 1206346 /FL
Phil Donahue Suspended for Unsuitable Concentration Recommendation
Unsuitable concentrated sector recommendation
2022-08-09 /CRD 7194083 /GA
Jolam Mendez Barred for Converting Firm Funds Through False Timesheets
Converted firm funds through false overtime timesheets
2022-08-09 /CRD 2230369 /MO
Stephen Whitman Barred for Refusing to Cooperate with Investigation
Refused to cooperate with investigation regarding customer loan
2022-08-09 /CRD 3266112 /NY
Manish Saini Suspended for Undisclosed Private Securities Transaction
Participated in undisclosed private securities transaction