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Broker records
2,290 records on file, newest first
2022-05-17 /CRD 4470522 /NJ
Kaival Patel Barred for Failing to Provide Information to FINRA
Failure to produce information to FINRA
2022-05-16 /CRD 6198730 /NJ
Bennett Robert Zamani Suspended for Operating Undisclosed Investment Content Business
Undisclosed outside business and improper communications
2022-05-13 /CRD 7013792 /NY
Stephanie Jing Wen Xiao Barred for Refusing to Cooperate with FINRA
Refusal to provide information to FINRA
2022-05-13 /CRD 4495397 /OH
Sanjay Bhargava Suspended for Undisclosed Private Securities Transactions
Undisclosed private securities transactions
2022-05-13 /CRD 6334022 /CA
Nikolay Zotenko Suspended for Sending Misleading Unapproved Communications
Sending misleading unapproved communications
2022-05-13 /CRD 2688706 /NY
Matthew Howard Smith Accused of Failing to Appear for FINRA Testimony
Alleged failure to appear for FINRA testimony
2022-05-12 /CRD 171237 /CA
Roselaine Securities LLC Fined for Supervisory Failures on Outside Activities
Supervisory system failures for outside activities
2022-05-12 /CRD 144131 /VA
Spire Securities LLC Sanctioned for Late Regulatory Filings
Failure to make timely regulatory filings
2022-05-12 /CRD 6271694 /TX
Roger Bruce Braxton II Barred for Failing to Respond to FINRA Requests
Failure to produce information to FINRA
2022-05-12 /CRD 7003078 /IL
Marco Antonio Rivera Barred for Failure to Provide Information
Failure to provide information to FINRA
2022-05-12 /CRD 4284221 /MT
Patrick Richard Daley Suspended for Undisclosed Outside Business Activities
Undisclosed outside business activities
2022-05-10 /CRD 2080810 /FL
Edric Michael McSween Barred for Refusing to Cooperate with FINRA
Refusal to provide information to FINRA