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Broker records
2,290 records on file, newest first
2022-07-06 /CRD 1805501 /NV
Wei Donald Tang Suspended for Undisclosed Outside Business Activities
Undisclosed outside business activities
2022-07-05 /CRD 4047060 /CA
Megurditch Mike Patatian Barred and Ordered to Pay Over $721,000 for Unsuitable Recommendations
Unsuitable recommendations of non-traded REITs and variable annuities with falsified records
2022-05-31 /CRD 26455 /MI
J.W. Korth Sanctioned for Excessive Markups on Bond Transactions
Excessive markups and markdowns on bond transactions
2022-05-31 /CRD 1188927 /CA
Steven Kiyoto Hirata Barred for Failing to Provide Information to FINRA
Failure to provide information to FINRA
2022-05-31 /CRD 5505145 /IL
Paul Steven Vavrinchik Barred for Refusing to Provide Information to FINRA
Refusal to produce information to FINRA
2022-05-31 /CRD 6734084 /CA
Camille Cordova Suspended for Unsuitable Annuity Recommendations
Unsuitable annuity recommendations causing tax consequences
2022-05-31 /CRD 2569418 /FL
David Charles Levine Suspended for Improper Recoupment of Sales Concessions
Improper recoupment of sales concessions in IPOs
2022-05-31 /CRD 2833891 /CA
Philip Norris Smith Suspended for Unsuitable Annuity Recommendations
Unsuitable annuity recommendations causing tax consequences
2022-05-27 /CRD 5559016 /NY
Palmery Robert Desir Suspended for Excessive Trading of Customer Account
Excessive and unsuitable trading of customer account
2022-05-26 /CRD 5618664 /MO
Jared Eli Ellis Suspended for Failing to Disclose Felony Charges
Failure to disclose felony charges on Form U4
2022-05-26 /CRD 5982408 /NY
Jordan Ross Helfgott Suspended for Forging Customer Signatures
Forging customer signatures on insurance documents
2022-05-25 /CRD 28583 /GA
Aaron Capital Fined for Willful Form CRS Violations
Willful failure to file and deliver Form CRS