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Broker records
2,290 records on file, newest first
2022-03-23 /CRD 151850 /NY
WR Securities Fined $100,000 for Overstating Trading Volume and Supervisory Failures
Overstating advertised trading volume and inadequate supervisory system
2022-03-23 /CRD 5256747 /NY
Arkady Ginsburg Suspended for Excessive and Unsuitable Trading in Customer Accounts
Excessive and unsuitable trading (churning) in customer accounts
2022-03-22 /CRD 290240 /TX
BD4RIA Fined $45,000 for Failing to Disclose Material Information About Issuer’s Delayed SEC Filings
Negligent omissions about issuer's delayed SEC filings and forensic audit
2022-03-22 /CRD 1101 /NY
Natixis Securities Americas Fined $400,000 for Short Interest Reporting Failures
Failure to report short interest positions and inadequate supervisory system
2022-03-22 /CRD 5086716 /TX
Michael Joseph Giannetti Barred for Refusing to Cooperate with Investigation into Undisclosed Outside Business Activities
Refusal to provide information regarding potential undisclosed outside business activities
2022-03-22 /CRD https /2022-03-22
Investors should be cautious about promissory notes or other investments offered by their financial professionals that are not processed through the firm. Such “selling away” transactions lack the compliance oversight and investor protections provided when investments are conducted through regulated firms. Always verify that investments are properly approved and supervised by the representative’s firm.”
Refusal to provide information regarding private securities transactions and undisclosed outside business activities,
2022-03-21 /CRD 141238 /GA
Dempsey Lord Smith Fined $70,000 for Unsuitable Sales and Material Omissions
Material omissions about delayed financial statements and unsuitable sales
2022-03-21 /CRD 349405 /CO
Craig Stanton Norton Barred for Market Manipulation of Microcap Security
Market manipulation of OTC microcap security
2022-03-21 /CRD 2757330 /NY
Marc Augustus Reda Barred for Churning Customer Accounts and Charging Excessive Commissions
Churning, unsuitable recommendations, unauthorized trading, excessive commissions, Form U4 disclosure failures
2022-03-21 /CRD 2830472 /CA
David Michael Stevens Barred for Forging Signatures on Life Insurance Applications and Loan Documents
Forgery of signatures on insurance and loan documents
2022-03-21 /CRD 3040543 /FL
Andrew Benjamin Edenbaum Suspended for Participating in Undisclosed Private Securities Transaction
Participation in undisclosed private securities transaction involving variable annuity sale without required license
2022-03-18 /CRD 120894 /CO
Geneos Wealth Management Fined $150,000 for Alternative Mutual Fund Supervision Failures and Omissions
Supervisory failures regarding alternative mutual funds and material omissions about limited partnership offerings