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Broker records
2,290 records on file, newest first
2022-08-01 /CRD 1658201 /TX
Charles Burford Decision: Unauthorized Trading in Deceased Customer Account
Unauthorized trades and withdrawals in deceased customer account
2022-07-28 /CRD 5732488 /NY
Joseph A. Ambrosole Barred for Refusing Testimony About Unsuitable Trading Allegations
Refusal to provide testimony regarding unsuitable trading allegations
2022-07-28 /CRD 2432661 /FL
Jorge Antonio Netto Suspended and Ordered to Disgorge $75,000 for Undisclosed Business Activities
Undisclosed outside business activities and false compliance certification
2022-07-28 /CRD 1419351 /OR
Wayne von Borstel Suspended for Causing Inaccurate 529 Plan Records
Causing inaccurate books and records by falsifying 529 plan beneficiary information
2022-07-27 /CRD 4647994 /NY
Lance Everett Baraker Suspended for Undisclosed Investment Company Activities
Undisclosed outside business activity involving investment company
2022-07-27 /CRD 2853952 /SC
Stephen Robert Green Suspended for Undisclosed Investment Company Activities
Undisclosed outside business activity involving investment company
2022-07-27 /CRD 1722789 /FL
Robert Watson Vial Suspended for Undisclosed Investment Company Activities
Undisclosed outside business activity involving investment company
2022-07-26 /CRD 1754577 /CA
Richard A. Hogan Suspended for Undisclosed Private Securities Transactions
Private securities transactions without prior notice
2022-07-26 /CRD 4725953 /AZ
Brian Harold Young Suspended for Failing to Disclose Three Felony Charges
Willful failure to disclose felony charges and guilty plea
2022-07-25 /CRD 148366 /NY
Worden Capital Management LLC Expelled for Fraudulent Private Placement Sales
Fraudulent omission of compensation agreement and supervisory failures
2022-07-21 /CRD 5307192 /MN
Adam Thomas Marquardt Barred for Refusing Testimony About Unauthorized Cash Deposits
Refusal to provide testimony regarding unauthorized deposits in client accounts
2022-07-20 /CRD 137862 /CA
Sagetrader LLC Fined $775,000 for Failing to Supervise Potentially Manipulative Trading
Failure to supervise for potentially manipulative trading