Broker records

Excessive trading of customer accounts

2022-05-09 /CRD 5586674 /TX

Jeremy Clay Burk Suspended for Undisclosed Outside Business Activities

Undisclosed outside business activities

2022-05-09 /CRD 6932754 /NH

Erin Bridget Settle Suspended for Exam Cheating

Cheating on Series 66 examination

2022-05-06 /CRD 133642 /TX

Torch Securities LLC Sanctioned for Due Diligence Failures in Private Offerings

Inadequate due diligence on private offerings

2022-05-05 /CRD 2127534 /FL

William Lawrence Groeneveld Barred for Refusing FINRA Testimony

barred

Refusal to provide testimony to FINRA

2022-05-03 /CRD 7654 /NY

UBS Securities LLC Fined for Market Access Control Failures

fined

Market access and supervisory system failures

2022-05-03 /CRD 1703194 /IL

Richard Matthew Brendza Suspended for Falsifying Trade Codes

Falsifying representative codes on trades

2022-05-03 /CRD 2108610 /NY

Peter James Fetherston Accused of Converting Customer Funds

Alleged conversion and misuse of customer funds

2022-05-01 /CRD 2525 /NY

Investors rely on firms to seek best execution rather than route orders in ways that benefit the firm at customers’ expense. When firms route to their own systems despite evidence of better execution elsewhere

Best execution violations related to routing to proprietary ATS, inadequate supervisory system, and Rule 606 disclosure failures

2022-05-01 /CRD 14488 /UT

This case demonstrates egregious misconduct where a failing firm essentially raided customer accounts to cover its financial difficulties

Conversion and misuse of customer funds and securities, unauthorized trading, unfair prices and unreasonable fees, unauthorized capital withdrawal