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Broker records
2,290 records on file, newest first
2022-01-07 /CRD 1458723 /MN
Philip Myers Suspended for Providing Excessive Gift to Bank Employee
Provided gift of church bonds exceeding FINRA gift limit to bank employee engaged in business with firm
2022-01-06 /CRD 2347 /NY
Jefferies LLC Fined for Late TRACE Reporting of Corporate Debt Transactions
Failed to timely report TRACE-eligible corporate debt securities transactions
2022-01-04 /CRD 1419385 /OH
Shawn Patrick Suspended for Impersonating Customers in 401(k) Plan Calls
Impersonated customers during telephone calls to 401(k) plan administrator to make account changes
2022-01-03 /CRD 117589 /CA
Integrity Brokerage LLC Fined for Allowing Disqualified Individual to Associate
Allowed disqualified individual to associate with firm and engage in securities business without registration
2022-01-03 /CRD 160209 /NY
Third Seven Capital LLC Sanctioned for Net Capital Violations
Failed to maintain minimum required net capital and filed inaccurate net capital notifications
2022-01-03 /CRD 1065880 /VA
Warren Rowe Barred for Refusing to Cooperate with FINRA Investigation
Refused to provide documents and information to FINRA regarding allegations of impermissible customer loans
2022-01-01 /CRD 2347 /NY
Credit Suisse Securities Fined $9 Million for Multiple Operational Failures
Failed to comply with Customer Protection Rule issued inaccurate research disclosures and failed to preserve records
2021-12-31 /CRD 2848213 /CA
Roger Oakley Waite Barred for Refusing to Respond to FINRA Investigation
Refusal to respond to requests for documents and information
2021-12-29 /CRD 31194 /NY
RBC Capital Markets Fined $2.6 Million for Large Options Positions Reporting Failures
Failure to report and inaccurate reporting of OTC options positions to LOPR
2021-12-29 /CRD 25803 /GA
Triad Advisors Fined $195,000 and Ordered to Pay Over $510,000 in Restitution for Failing to Supervise Alternative Mutual Fund Recommendations
Failure to supervise alternative mutual fund recommendations and inadequate recordkeeping
2021-12-27 /CRD 6221630 /IN
Kyle Zachary Wittgren Barred for Refusing to Testify About Forgeries and Policy Violations
Refusal to provide testimony regarding forgeries, unfunded applications, and policy violations
2021-12-23 /CRD 19714 /NY
Barclays Capital Inc. Fined and Ordered to Disgorge Profits After Over-Tendering Shares
Over-tendering shares due to miscalculation of long position in violation of Rule 14e-4