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2,290 records on file, newest first
/CRD 1215434 /Indiana
FINRA Bars Thomas Lee Johnson for Converting Over $1 Million from Currency Conversion Error
Conversion of $1058620.19 mistakenly deposited in personal brokerage account due to currency conversion error with South Korean securities; failure to verify or investigate obvious error; withdrawal of funds to personal checking account
/CRD 5366984 /Massachusetts
FINRA Bars Matthew R Logan for Using Imposter to Cheat on Regulatory Exams and Lying to Firm (Appeal Pending in Federal Court)
Using an imposter to complete FINRA Regulatory Element and continuing education courses including ethics and AML courses; providing false information to firm's parent company about misconduct
/CRD 1894585 /Maryland
FINRA Bars Andrew Joseph Egber for Refusing to Cooperate in Investigation of Possible Theft of Client Funds
Refusal to produce information and documents and appear for on-the-record testimony in investigation into allegations of possible theft of client funds
/CRD 6034987 /Texas
FINRA Bars Beliveau Bays for Forging Customer Signatures and Providing False Statements to Regulators
Forging customers' signatures on six account applications and one account transfer form; misstating income and net worth of three customers; providing false and misleading statements and testimony to FINRA; providing false and misleading information to insurance companies
/CRD 5254392 /New York
FINRA Complaint Filed Against Thomas James Baumann for Alleged Failure to Cooperate with Unauthorized Trading Investigation
Alleged failure to provide information and documents in connection with investigation into unauthorized trading of equity securities in customer account
/CRD 1219255 /Florida
FINRA Complaint Filed Against Michael Charles Grande for Alleged Failure to Cooperate with Mutual Fund Trading Investigation
Alleged failure to provide information in connection with investigation into suitability of recommendations for short-term mutual fund trading and failure to respond to multiple FINRA requests
/CRD 2983634 /Michigan
FINRA Complaint Filed Against Gary Francis Harpe for Alleged Failure to Cooperate with Investigation into Termination and Felony Charge
Alleged failure to provide information and documents in connection with investigation into termination and felony charge of larceny by conversion and possible failure to disclose judgments and liens
/CRD 3123249 /New York
FINRA Complaint Filed Against Stephen James Sullivan for Alleged Failure to Cooperate with Churning and Excessive Trading Investigation
Alleged failure to provide complete on-the-record testimony and documents in connection with investigation into potential churning and excessive trading and threatening to terminate testimony
/CRD 108399 /Berchwood Partners LLC
Berchwood Partners LLC Suspended by FINRA Under Rule 9552 for Failure to Provide or Keep Information Current
Suspended under FINRA Rule 9552 for failure to provide information or keep information current
/CRD 29767 /Illinois
Melvin Securities L.L.C. Suspended by FINRA Under Rule 9552 for Failure to Provide or Keep Information Current
Suspended under FINRA Rule 9552 for failure to provide information or keep information current
/CRD 22892 /Securities Capital Corporation
Securities Capital Corporation Suspended by FINRA Under Rule 9552 for Failure to Provide or Keep Information Current
Suspended under FINRA Rule 9552 for failure to provide information or keep information current
/CRD 286665 /Tellson Securities
Tellson Securities Suspended by FINRA Under Rule 9552 for Failure to Provide or Keep Information Current
Suspended under FINRA Rule 9552 for failure to provide information or keep information current