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Broker records
2,290 records on file, newest first
2021-12-10 /CRD 18487 /NY
American Portfolios Financial Services Fined $225,000 After Sales Assistant Converts $390,000 of Customer Funds
Failure to supervise transmittals of customer funds, allowing sales assistant to convert $390,000
2021-12-10 /CRD 6908590 /PA
Thomas Patrick Barton III Barred for Forging Insurance Applications
Forging insurance applications and creating fictitious policies
2021-12-09 /CRD 1275777 /OH
Rodney Deleths Washington Barred for Refusing to Provide Information to FINRA
Refusal to provide documents and information to FINRA
2021-12-06 /CRD 11025 /MO
Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services Fined $2.25 Million for Anti-Money Laundering Recordkeeping Violations
Failure to store customer identification program records in required WORM format
2021-12-06 /CRD 3132230 /FL
Alan Scot Feigenbaum Suspended for Exercising Discretion Without Authorization and Using Unauthorized Email
Exercising discretion without authorization, using unauthorized email, and mismarking orders
2021-12-03 /CRD 29112 /NY
Ecoban Securities Corporation Fined for Multiple Supervisory Failures
Multiple supervisory failures including email supervision, outside account monitoring, OBA oversight, and compliance testing
2021-12-03 /CRD 2263899 /TX
Eric Carl Willer Suspended for Unsuitable Bond Recommendations and Misleading Communications
Unsuitable bond recommendations without reasonable basis and distributing misleading communications
2021-12-02 /CRD 7059 /NY
Citigroup Global Markets Inc. Fined for Failing to Amend Form U4s Timely
Failure to amend Form U4s timely to disclose unsatisfied tax liens and judgments
2021-12-01 /CRD 6060234 /NJ
Robert Patrick Foley Suspended for Failing to Supervise Representatives Who Excessively Traded Accounts
Failure to reasonably supervise representatives who excessively traded accounts
2021-12-01 /CRD 4520444 /NY
Peter N. Girgis Suspended and Ordered to Pay $169,677 in Restitution for Excessive Trading
Excessive and quantitatively unsuitable trading in customer accounts
2021-12-01 /CRD 3214215 /NY
Douglas Jarrett Rosenberg Suspended and Ordered to Pay Restitution for Excessive Trading
Excessive and unsuitable trading in customer accounts
2021-11-30 /CRD 2602300 /TX
Ian E. James Suspended for Failing to Disclose Tax Lien and Undisclosed Outside Business Activity
Failed to disclose federal tax lien of $59997.08 and engaged in undisclosed outside business activity with medical marijuana company