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2,290 records on file, newest first
2022-03-18 /CRD 4852412 /NY
Michael Joseph Muratore Suspended for Forgery, Falsification, and Becoming Undisclosed Beneficiary
Forgery, falsification of records, circumventing beneficiary procedures, impersonation
2022-03-17 /CRD 2615841 /CT
Patrick Joseph O’Neill Suspended for Willfully Failing to Disclose Felony Charges
Willful failure to timely disclose felony charges on Form U4
2022-03-16 /CRD 36155 /IL
Performance Trust Capital Partners Fined $115,000 for Late TRACE Reporting and Supervisory Failures
Late TRACE reporting and inadequate supervisory system
2022-03-16 /CRD 1777599 /MN
Paul Ronald Koch Barred for Refusing to Cooperate with FINRA Investigation
Refusal to provide information to FINRA regarding unsuitable recommendations and alleged fund diversion
2022-03-16 /CRD 1143510 /FL
Steven Martin Barnett Suspended for Mismarking Solicited Orders as Unsolicited
Mismarking solicited mutual fund orders as unsolicited, causing inaccurate books and records
2022-03-16 /CRD 2022-03-16 /Donovan Thomas Kelly
Donovan Thomas Kelly Suspended for Selling Away and False Compliance Attestations
deprive investors of important protections. Firms cannot assess suitability, conduct due diligence on offerings, or monitor for fraud when representatives facilitate investments without firm knowledge. Oil and gas drilling investments are often high-risk, speculative investments that may not be suitable for many investors, particularly when structured as promissory notes from companies with uncertain cash flows. The fact that Kelly arranged for customers to liquidate firm account holdings to fund these investments raises additional suitability concerns. Kelly's false answers on annual compliance attestations compounded the violation by actively concealing his selling away activities from his firm. These attestations exist precisely to identify situations where representatives are engaging in outside securities activities requiring firm supervision. This case demonstrates that selling away violations occur even without compensation. The harm to investors comes from lack of firm supervision, not from whether the representative receives payment. Investors should be cautious about any investment opportunities presented outside their normal account relationship and should verify that all investments receive proper firm review and approval.,
2022-03-15 /CRD 5968832 /NY
Garrett Caplin Barred for Failing to Cooperate with FINRA Investigation
Failure to produce information and documents to FINRA regarding due diligence failures
2022-03-15 /CRD 4357852 /CA
Michael Campopiano Suspended for Causing Inaccurate Trade Records by Changing Representative Codes
Causing inaccurate books and records by changing representative codes
2022-03-15 /CRD 2624600 /CO
Gregory Scott Hanshew Accused of Failing to Provide Complete Response to FINRA Investigation
Alleged failure to provide complete response to FINRA regarding sales practice violations involving seniors, undisclosed OBAs, and undisclosed judgments/liens
2022-03-14 /CRD 2627221 /AR
Investors should verify that any investment opportunities presented by their financial professionals are processed through and approved by the representative’s firm. The firm’s supervisory review provides important investor protection
Participation in undisclosed private securities transaction
2022-03-11 /CRD 164445 /StockKings Capital LLC
StockKings Capital LLC and Gregory Lewis Sanctioned for Misleading Marketing and Misuse of Firm Funds
False and misleading investment materials, misuse of firm funds, inaccurate books and records, inadequate private placement disclosures
2022-03-11 /CRD 47548 /WA
Vorpahl Wing Securities and Tim Vorpahl Fined for Supervisory Failures Allowing Excessive Trading
Supervisory failures regarding suitability and excessive trading