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Broker records
2,290 records on file, newest first
2022-07-20 /CRD 4707468 /AZ
David Thomas Hixon Accused of Failing to Provide Information About Customer Loans
Alleged failure to provide information about borrowing from customers
2022-07-19 /CRD 2456460 /MI
Michael Hong Cho Suspended 15 Months for False Comfort Letters Worth Billions
Fraudulent comfort letters containing material misrepresentations
2022-07-19 /CRD 2255753 /FL
James Daniel Kent Jr. Suspended for Failing to Disclose Felony DUI Charge
Willful failure to disclose felony charge and failure to produce documents
2022-07-18 /CRD 3777 /UT
Wilson-Davis & Co. Fined $100,000 for Customer Reserve and Securities Control Violations
Inaccurate customer reserve calculations and inadequate supervision
2022-07-15 /CRD 283942 /NY
BofA Securities Fined $325,000 for Inaccurate Order Execution Reports
Inaccurate Rule 605 order execution reports and inadequate supervision
2022-07-15 /CRD 5727269 /NY
David Gene Menashe Barred for Refusing Testimony About Excessive Trading
Refusal to provide testimony regarding unsuitable and excessive trading
2022-07-15 /CRD 442144 /CA
Robin Lee Taliaferro Barred for Refusing to Produce Information
Refusal to produce information and documents to FINRA
2022-07-14 /CRD 1366026 /IA
Daniel Lee Bicket Barred for Refusing Testimony Regarding Undisclosed Outside Activities
Refusal to provide testimony regarding undisclosed outside business activities
2022-07-13 /CRD 4463792 /NY
Franz Helmut Lambert Suspended for Excessive Trading Causing $320,906 in Losses
Excessive and quantitatively unsuitable trading in senior customer account
2022-07-11 /CRD 5759091 /OH
Michael Burton Ohlemacher Suspended for Undisclosed Insurance Business
Undisclosed insurance-related outside business activity and false compliance certifications
2022-07-07 /CRD 1934119 /IN
David Michael Karandos Barred for Refusing FINRA Testimony
Refusal to appear for FINRA testimony
2022-07-07 /CRD 4255814 /AZ
William Edward Torriente Jr. Barred for Refusing FINRA Testimony
Refusal to provide FINRA testimony regarding unauthorized trading allegations