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Broker records
2,290 records on file, newest first
2025-10-28 /CRD 6787085 /CT
Anna Marie Verzosa Barred for Failure to Provide Information
Barred for failure to provide information to FINRA
2025-10-27 /CRD 292589 /FL
Avenue Securities Fined $100,000 for Inaccurate Customer Confirmations
Provided inaccurate markup information on 44% of fixed-income confirmations
2025-10-27 /CRD 283942 /NY
BofA Securities Fined $450,000 for Trade-Through Violations
Failed to prevent trade-throughs of protected quotations in NMS stocks
2025-10-27 /CRD 7717 /CA
Independent Financial Group Fined $100,000 for Permitting Suspended Representative to Trade
Permitted suspended representative to enter securities orders
2025-10-27 /CRD 2985613 /Canada
George Stratis Barred for Failure to Provide Information
Barred for failure to provide information to FINRA
2025-10-27 /CRD 6818846 /NJ
Steven A. Pusterla Suspended for Failure to Provide Information
Suspended for failure to provide information to FINRA
2025-10-27 /CRD 1749165 /TX
Geraldine Card Maxfield Suspended for Failure to Pay Arbitration Award
Suspended for failure to pay arbitration award
2025-10-24 /CRD 142271 /CT
Vision Financial Markets Fined $250,000 for Reserve Calculation Failures
Failed to accurately calculate customer and PAB reserve requirements
2025-10-24 /CRD 7650265 /NY
Jessica Quiroz Barred for Refusing FINRA Testimony
Refused to appear for FINRA on-the-record testimony
2025-10-23 /CRD 304587 /FL
Puente Servicios Financieros Fined $20,000 for Mark-Up Disclosure Failures
Failed to disclose mark-up and mark-down information on customer confirmations
2025-10-23 /CRD 4292479 /TX
Jose Abel Gamez Barred for Refusing to Cooperate with Investigation
Refused to provide information regarding alleged customer fund misuse
2025-10-22 /CRD 103728 /CA
J.K. Financial Services Fined $65,000 for Multiple Compliance Failures
Form CRS violations and email preservation and supervision failures