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Broker records
2,290 records on file, newest first
2025-10-21 /CRD 19714 /NY
Barclays Capital Fined $150,000 for IPO Underwriting Violations
Failed to ensure qualified independent underwriter participation in conflicted IPO
2025-10-21 /CRD 5236215 /Canada
David Kitchen Franklin Barred from Securities Industry
Refused to provide documents while under criminal indictment
2025-10-21 /CRD 4601257 /NJ
Brandon V. Spano Suspended for Undisclosed Real Estate Business with Customer
Engaged in undisclosed real estate business with firm customer
2025-10-20 /CRD 1037 /KY
Alexander Investment Services Fined $25,000 for Regulation Best Interest Compliance Failures
Failed to establish Regulation Best Interest compliance policies
2025-10-20 /CRD 7706430 /CA
Kevin Tong You Barred for Failure to Provide Information
Barred for failure to provide information to FINRA
2025-10-17 /CRD 15007 /NY
Aegis Capital Corp. Fined $275,000 for Books and Records Violations
Inaccurate books and records and allowing unregistered person in supervisory role
2025-10-16 /CRD 7963321 /LA
Robert David Bienvenu Barred for Refusing to Provide Information to FINRA
Refused to provide information about undisclosed crypto investments
2025-10-16 /CRD 6202734 /WY
Shane Robert Niederer Suspended for Failure to Pay Arbitration Award
Suspended for failure to pay arbitration award
2025-10-14 /CRD 165013 /TX
NexPoint Securities Fined $50,000 for Net Capital Deficiencies
Conducted business while failing to maintain required net capital
2025-10-14 /CRD 6248114 /MT
Richard James Wick Suspended for Failure to Provide Information
Suspended for failure to provide information to FINRA
2025-10-13 /CRD 4805463 /GA
Amy Fulghum Suspended for Forging Customer Signatures
Forged signatures for 9 customers without permission and 97 with permission
2025-10-13 /CRD 1508512 /WA
Robert James Hoefel Suspended for Failure to Pay Arbitration Award
Suspended for failure to pay arbitration award