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2,290 records on file, newest first
2017-12-14 /CRD 4362567 /MA
FINRA Disciplinary Action: Matthew Grady Suspension Lifted After Arbitration Compliance
Failure to comply with arbitration award (Rule 9554); suspension lifted after compliance
2016-04-26 /CRD 1578237 /NC
Cynthia Lynn Wadkinson Suspension Lifted After Complying with Arbitration Award
Failure to comply with arbitration award
/CRD 835827 /Georgia
FINRA Bars John Douglas Engler Sr. for Refusing to Testify in Unsuitable Investment and Misappropriation Investigation
Refusal to appear for on-the-record testimony in investigation into unsuitable investments and misappropriation allegations
/CRD 1209975 /Illinois
FINRA Bars Randell Alan Heller for Refusing to Provide Documents in Client Impersonation Investigation
Refusal to provide documents and information in investigation into allegations of impersonating clients in phone calls
/CRD 4958219 /Oklahoma
FINRA Bars Jason Mark Kurtz for Refusing to Cooperate in Code of Ethics Violation Investigation
Refusal to produce information and documents in investigation into code of ethics violations related to misuse of personal bank account
/CRD 4933282 /Iowa
FINRA Bars Kyle Benjamin Baker for Refusing On-the-Record Testimony
Refusal to appear for on-the-record testimony
/CRD 3074785 /New Jersey
FINRA Bars Robert Steven Meyer for Refusing to Complete On-the-Record Testimony in Membership Agreement Violation Investigation
Refusal to appear for continuation of on-the-record testimony in investigation into potential violations of FINRA Membership Agreement restrictions and suspension
/CRD 3022149 /Colorado
FINRA Bars James Brett Stuart for Supervisory Failures Leading to Excessive Trading Losses and Refusal to Testify
Failure to establish and enforce written supervisory procedures for FINRA Rule 2111 and Reg BI compliance; failure to supervise trading in customer accounts; failure to complete on-the-record testimony
/CRD 5872439 /New York
FINRA Bars Michael Christopher Venturino and Orders Disgorgement for Churning Customer Accounts (Appeal Pending)
Churning six customer accounts with scienter in willful violation of Exchange Act Section 10(b) and Rule 10b-5; excessive and unauthorized trading; concealing trading costs through alternating riskless principal and agency trades; violations of FINRA Rules 2020 and 2010
/CRD 5394734 /California
FINRA Bars Fernando Corcuchia for Refusing to Testify in Company Policy Violation Investigation
Refusal to appear for on-the-record testimony in investigation into violation of company policy
/CRD 6656001 /Pennsylvania
FINRA Bars Joseph Samuel Vanelli III for Refusing to Cooperate in Outside Business Activity Investigation
Refusal to produce information and documents in investigation into outside business activity
/CRD 7426643 /California
FINRA Bars Gabriel Ruiz for Refusing to Cooperate in Conflicts of Interest and Fair Dealing Investigation
Refusal to produce information and documents in investigation into Code of Business Conduct violations related to conflicts of interest and fair dealing