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Broker records
2,290 records on file, newest first
2022-01-31 /CRD 2367961 /CA
Steven Schisler Barred for Unsuitable Recommendation and Extensive Misconduct
Made unsuitable recommendations participated in unapproved private securities transactions lied under oath and engaged in pattern of unethical conduct
2022-01-31 /CRD 2100429 /KS
Carl Thomason Barred for Refusing to Appear for FINRA Testimony
Refused to appear for on-the-record testimony during FINRA investigation
2022-01-31 /CRD 5684407 /KS
Kelly Thomason Barred for Refusing to Appear for FINRA Testimony
Refused to appear for on-the-record testimony during FINRA investigation
2022-01-31 /CRD 2771184 /IN
Thomas Foster Suspended for Changing Representative Codes on Trades
Changed representative codes on trades receiving $21831 in additional commissions and causing inaccurate records
2022-01-31 /CRD 4052216 /NY
Mark Giordano Suspended for Undisclosed Outside Business Activities
Engaged in multiple compensated outside business activities without providing prior notice to firm
2022-01-28 /CRD 5365176 /CA
Dennis Ayre Barred for Refusing to Appear for FINRA Testimony
Refused to appear for on-the-record testimony regarding suitability of investment recommendations to customers
2022-01-28 /CRD 2897738 /NY
Francis Cid Barred for Refusing to Produce Documents to FINRA
Refused to produce information and documents regarding private securities transactions and entity he controls
2022-01-28 /CRD 2203199 /NY
Michael Dmytryshyn Suspended for Maintaining Inaccurate Books and Records
Changed representative codes on trades causing inaccurate books and records and receiving higher commissions than entitled
2022-01-28 /CRD 3274235 /CA
Michael Knittel Suspended for Participating in Undisclosed Private Securities Transaction
Participated in $245000 private securities transaction without providing notice to firm
2022-01-28 /CRD 6432136 /NJ
Jimmy Nunez Suspended for Forging Customer Signature and Providing False Statements
Forged customer signature on variable annuity application and provided false statements to FINRA
2022-01-27 /CRD 6717691 /FL
Tarek Mohamed Barred for Failing to Provide Complete Response to FINRA
Failed to provide complete response to FINRA requests regarding potential conversion and undisclosed outside business activities
2022-01-26 /CRD 33038 /NY
DriveWealth Institutional Fined $100,000 for Regulation SHO and Trade Reporting Violations
Failed to obtain short sale locates and violated Regulation SHO requirements