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Broker records
2,290 records on file, newest first
2022-08-09 /CRD 4637800 /IA
Daniel Stoakes Suspended for Forging Customer Signatures
Forged and falsified customer signatures on account forms
2022-08-08 /CRD 4661462 /VA
Haleh Farshi Barred for Refusing to Provide Information
Refused to provide information regarding criminal fraud charge
2022-08-05 /CRD 2002197 /FL
John Orlando Suspended for Mischaracterizing Trades
Mischaracterized solicited transactions as unsolicited
2022-08-04 /CRD 79 /NY
J.P. Morgan Securities Fined $200,000 for Supervisory Failures in Elder Financial Abuse Case
Failed to supervise representative who made unsuitable recommendations and unauthorized trades
2022-08-04 /CRD 2440231 /NY
James Pecoraro Suspended for Excessive Trading
Excessive and unsuitable trading in customer accounts
2022-08-03 /CRD 8209 /NY
Morgan Stanley Fined $325,000 for Inaccurate Research Reports
Published inaccurate research reports and failed to disclose beneficial ownership
2022-08-03 /CRD 736694 /NJ
Robert Mehlin Suspended for Unauthorized Discretion
Exercised unauthorized discretion and used unapproved communications
2022-08-02 /CRD 13577 /NJ
Network 1 Financial Securities Inc. Fined $15,000 for Filing Violations
Failed to file documents with FINRA in timely manner
2022-08-02 /CRD 1610976
Timothy Fazzone Barred for Converting Customer Estate Funds
Converted customer estate funds through fraudulent commission claim
2022-08-02 /CRD 2588177 /TX
Ernest Frerking Barred for Refusing to Testify
Refused to appear for FINRA testimony
2022-08-02 /CRD 1307977 /NJ
Mark Guarino Fined and Suspended for PPP Loan Misrepresentations
Negligent misrepresentations in PPP loan application
2022-08-02 /CRD 467130 /MN
David Wilkie Suspended for Concealing Beneficiary Status
Concealed beneficiary status on customer life insurance policy