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Broker records
2,290 records on file, newest first
2021-12-23 /CRD 10081 /IL
Cabrera Capital Markets Fined $50,000 for Trade Confirmation Violations
Failure to disclose required information on trade confirmations and inadequate supervision
2021-12-23 /CRD 2736831 /NY
David Khezri Barred for Refusing to Provide Documents About Unsuitable Recommendations
Refusal to provide documents regarding unsuitable securities recommendations
2021-12-23 /CRD 5765481 /IN
Amy Marjorie O’Brien Barred for Refusing to Provide Documents About Improper Receipt of Customer Funds
Refusal to provide documents regarding improper receipt of funds from elderly customer
2021-12-22 /CRD 130032 /Emerson Equity LLC
Emerson Equity LLC and Dominic Julio Baldini Fined and Ordered to Pay Restitution for Supervisory Failures
Failure to supervise short-term mutual fund trading resulting in unsuitable recommendations and excessive sales charges
2021-12-22 /CRD 19418 /NY
Intesa Sanpaolo IMI Securities Corp. Fined $650,000 for AML and Surveillance Failures
AML compliance failures, inadequate due diligence of foreign financial institutions, and electronic communications surveillance failures
2021-12-22 /CRD 3089278 /VA
Jason Patrick Hamby Barred for Refusing to Provide Testimony to FINRA
Failure to provide on-the-record testimony to FINRA
2021-12-22 /CRD 2047445 /PA
Scott Alan Kaufman Barred for Refusing to Appear for Testimony About Bond Trading Strategy
Refusal to appear for testimony regarding fixed income trading strategy
2021-12-21 /CRD 28684 /TX
GBM International Fined $250,000 for Anti-Money Laundering Program Failures
Failure to implement AML program to detect and investigate suspicious activity
2021-12-21 /CRD 6271 /GA
SunTrust Robinson Humphrey (now Truist Securities) Fined $150,000 for Email Review Failures
Failure to review email communications including flagged emails and Bloomberg messages
2021-12-20 /CRD 7691 /NY
Merrill Lynch Fined $950,000 After Representatives Stole Over $6 Million from Customers via ACH Transfers
Failure to supervise ACH transfers, allowing representatives to steal over $6 million from customers
2021-12-20 /CRD 7691 /NY
Merrill Lynch Fined $1.2 Million for Failing to Produce Timely and Complete Documents to FINRA
Failure to produce timely and complete documents to FINRA during investigations
2021-12-20 /CRD 135274 /NJ
Tor Brokerage LLC Fined for Failing to Supervise $4 Million in Private Securities Transactions
Failure to supervise and record $4 million in private securities transactions