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Broker records
2,290 records on file, newest first
2025-11-04 /CRD 128351 /NY
SG Americas Securities Fined $90,000 for Inaccurate Rule 606 Reports
Inaccurate Rule 606 reporting and inadequate supervision
2025-11-04 /CRD 2403903 /WI
Michael Joseph Schmidt Suspended for False Entries in Journaling System
False entries in firm journaling system and unauthorized transfers
2025-11-04
First Trust Portfolios Fined $10 Million for Excessive Gifts and Entertainment
Excessive gifts and entertainment violating non-cash compensation rules
2025-11-03 /CRD 6264698 /MA
Ana Maria Dimco Barred for Misusing Firm Funds and Failing to Respond to FINRA
Misuse of firm funds and failure to respond to FINRA
2025-10-31 /CRD 36418 /CT
Interactive Brokers Fined $150,000 for Market Data Display Violations
Failed to provide consolidated market data display to customers
2025-10-31 /CRD 45348 /NC
Supreme Alliance Fined $80,000 for Variable Annuity Supervision Failures
Failed to supervise variable annuity transactions and Reg BI compliance
2025-10-31 /CRD 4135180 /NJ
Eric Brian Kleiner Barred from Securities Industry
Refused to provide information regarding non-approved investments and confidentiality breach
2025-10-31 /CRD 4205289 /WI
John E. Pelletier Suspended for Unauthorized Transactions in Customer Account
Executed unauthorized transactions in customer retirement account at direction of unauthorized person
2025-10-30 /CRD 2835725 /MD
George Ndifor Jing Barred for Refusing to Cooperate with Investigation
Refused to provide information about undisclosed OBA or private securities transactions
2025-10-30 /CRD 6368188 /NJ
Jose Luis Centeno Suspended for Falsifying Exception Report Reviews
Falsified records showing review of exception reports for thousands of transactions
2025-10-29 /CRD 630 /NY
CIBC World Markets Fined $425,000 for Options Position Reporting Failures
Failed to accurately report OTC options positions to LOPR system
2025-10-29 /CRD 4693844 /NY
James Sunghoon Kim Suspended for Failure to Pay Arbitration Award
Suspended for failure to pay arbitration award