The database
Broker records
2,290 records on file, newest first
2022-05-25 /CRD 141296 /NY
BIDS Trading Fined $200,000 for Overstating Trade Volume
Overstating advertised trade volume
2022-05-24 /CRD 3183322 /MI
John Michael Derbin Jr. Suspended for Impersonating Customer
Impersonating customer and providing false statements
2022-05-23 /CRD 2535421 /NY
Barbara Ann Bernatzky Barred for Refusing to Testify Before FINRA
Refusal to appear for testimony with FINRA
2022-05-23 /CRD 5683972 /KS
Suresh V. Kumar Barred for Operating Undisclosed Outside Business and Making Misrepresentations
Undisclosed outside business and material misrepresentations
2022-05-23 /CRD 6336491 /CO
Tarik Nehmatullah Barred for Refusing to Cooperate with FINRA Investigation
Refusal to provide documents and information to FINRA
2022-05-23 /CRD 1507819 /NY
Marcella Luz Cofre Suspended for Falsifying Customer Signature
Falsifying customer signature on application
2022-05-20 /CRD 146122 /CA
Electronic Transaction Clearing Fined for Regulation SHO Violations
Regulation SHO supervisory failures
2022-05-20 /CRD 2922955 /PA
Blakely Chapman Page Suspended for Negligent Misrepresentations About Fund Performance
Negligent misrepresentations about fund performance
2022-05-19 /CRD 4928098 /NM
Timothy John Prouty Barred for Refusing to Provide Information to FINRA
Refusal to produce information to FINRA
2022-05-18 /CRD 2872490 /OH
Jeffrey Ernest Marburger Barred for Refusing to Testify Before FINRA
Refusal to provide testimony to FINRA
2022-05-18 /CRD 7280004 /NM
William Thomas Hobdy Suspended for Undisclosed Outside Business Activities
Undisclosed outside business activities
2022-05-17 /CRD 6414709 /CA
Jesus Jose Alvidrez Barred for Refusing to Cooperate with FINRA Investigation
Refusal to produce information to FINRA