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Broker records
2,290 records on file, newest first
2021-12-20 /CRD 7461 /GA
FSC Securities, Royal Alliance, and Sagepoint Ordered to Pay Over $412,000 in Restitution for 529 Plan Share Class Supervision Failures
Failure to supervise 529 plan share-class recommendations
2021-12-20 /CRD 6413 /SC
LPL Financial Ordered to Pay $982,354 in Restitution for 529 Plan Rollover Failures
Failure to supervise 529 plan rollovers and apply available sales charge waivers
2021-12-20 /CRD 10409 /MA
MML Investors Services Ordered to Pay $617,726 in Restitution for 529 Plan Share Class and Breakpoint Failures
Failure to supervise 529 plan share-class recommendations and breakpoint discounts
2021-12-20 /CRD 8174 /NJ
UBS Financial Services Ordered to Pay Over $4 Million in Restitution for 529 Plan Share Class Supervision Failures
Failure to supervise 529 plan share-class recommendations
2021-12-20 /CRD 11025 /MO
Wells Fargo Ordered to Pay $3.36 Million in Restitution for 529 Plan Share Class Failures
Failure to supervise 529 plan share-class recommendations
2021-12-20 /CRD 4459980 /CA
Hayk Papoyan Barred for Failing to Disclose Outside Account and Providing False Testimony
Failure to disclose outside brokerage account and providing false testimony to FINRA
2021-12-17 /CRD 133763 /AZ
SagePoint Financial Fined $700,000 for Failing to Supervise Representatives with Disciplinary Histories
Failure to supervise representatives with disciplinary histories and inadequate recordkeeping
2021-12-17 /CRD 4989449 /NY
Michael John Giovannelli Barred for Unauthorized Trading and Providing False Documents to FINRA
Unauthorized trading, providing false documents to FINRA, and providing false testimony
2021-12-16 /CRD 2468171 /FL
Daniel Della Rosa Barred for Failing to Provide Information and Appear for Testimony
Failure to provide information and documents and failure to appear for testimony
2021-12-15 /CRD 31194 /NY
RBC Capital Markets Fined $550,000 and Ordered to Pay $456,155 in Restitution for High-Yield Bond Supervision Failures
Failure to supervise high-yield bond recommendations and defective automated alerts
2021-12-14 /CRD 6948879 /CT
Gaetano Salvatore Ciambriello Barred for Failing to Appear for Testimony
Failure to appear for on-the-record testimony
2021-12-13 /CRD 11025 /MO
Wells Fargo Fined $650,000 and Ordered to Pay Over $2 Million in Restitution for Failing to Supervise Early UIT Rollovers
Failure to supervise early UIT rollovers causing customers to pay unnecessary sales charges