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Broker records
2,290 records on file, newest first
2021-11-02 /CRD 1215434 /IN
Thomas Lee Johnson Barred for Converting Over $1 Million After Firm Pricing Error
Converted $1059544.98 from member firm after firm incorrectly priced securities sales
2021-11-02 /CRD 5465279 /NY
Patrick Pierre-Louis Barred for Converting Customer Funds for Personal Real Estate Investment Scheme
Converted approximately $9695 from customer by falsely claiming he would invest funds in real estate
2021-11-02 /CRD 4269583 /NY
Abdul Matin Rahmani Barred for Undisclosed Outside Business and Providing False Information
Engaged in undisclosed outside business activities and failed to cooperate with FINRA investigation
2021-11-02 /CRD 2392901 /NJ
James Alan Seijas Barred for Refusing to Testify About Alleged Ponzi Scheme
Refused to appear for testimony regarding allegations of involvement in Ponzi scheme
2021-11-02 /CRD 3277904 /CA
Paul Eric Flesche Suspended for Failing to Supervise Asia-Based Customer Accounts
Failed to supervise registered representative handling Asia-based customer accounts
2021-11-02 /CRD 1334784 /FL
Brian Stanley Pearce Suspended for Private Securities Transactions Without Firm Approval
Participated in private securities transactions without disclosure or firm approval
2021-11-02 /CRD 2103354 /NJ
Brian Jerome Rice Suspended for Borrowing Money From Customer Without Firm Approval
Borrowed money from customer without firm notification or approval
2021-11-01 /CRD 45993 /NY
Aegis Capital Corp Ordered to Pay $2.8 Million for Supervisory Failures Allowing Excessive Trading
Failed to implement supervisory system to prevent excessive trading by representatives
2021-08-17 /CRD 2688964 /PA
Leslie George Markus Jr. Suspension Lifted After Compliance with Arbitration Award
Failure to comply with arbitration award pursuant to FINRA Rule Series 9554
2021-08-11 /CRD 4583237 /VA
Jason Michael Fekete Suspension Lifted After Complying with Arbitration Award
Suspension lifted after complying with arbitration award
2019-07-22 /CRD 5847373 /OR
Duncan Tyrel Sandlin Suspension Lifted After Compliance with Arbitration Award
Failure to comply with arbitration award pursuant to FINRA Rule Series 9554
2019-04-26 /CRD 4951340 /NY
FINRA Disciplinary Action: Helen Thomasine Andrews Suspension Lifted After Arbitration Compliance
Failure to comply with arbitration award (Rule 9554); suspension lifted after compliance