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Broker records
2,290 records on file, newest first
2025-10-10 /CRD 7433172 /TX
Kevin N. Jenkins Suspended for Private Securities Transactions and OBA Violations
Made investment recommendations through undisclosed social media business
2025-10-10 /CRD 4498470 /CA
Jim Carl Dedmon Jr. Barred for Failure to Provide Information
Barred for failure to provide information to FINRA
2025-10-10 /CRD 7495646 /NY
Frey D. Pena Perez Barred for Failure to Provide Information
Barred for failure to provide information to FINRA
2025-10-10 /CRD 2549530 /AK
Krista Ann Stamper Suspended for Failure to Pay Arbitration Award
Suspended for failure to pay arbitration award
2025-10-09 /CRD 40118 /FL
EFG Capital International Fined $650,000 for Anti-Money Laundering Failures
Failed to implement AML procedures for $5.5 billion in wire transfers
2025-10-09 /CRD 1940341 /NC
Brian Michael Moran Suspended from FINOP Role for Net Capital Violations
Allowed firm to operate with net capital deficiencies and filed inaccurate reports
2025-10-09 /CRD 721214 /NC
Thomas Stewart Lanier Suspended for Failure to Pay Arbitration Award
Suspended for failure to pay arbitration award
2025-10-08 /CRD 136131 /NC
Ally Invest Securities Fined $850,000 for Failing to Preserve Customer Communications
Failed to preserve electronic communications and review 521000 communications
2025-10-08 /CRD 5286707 /NC
Eyan Michael Townsend Suspended One Year for Deleting Business Communications
Deleted business text messages and lied to firm investigators
2025-10-07 /CRD 22698 /NY
National Bank of Canada Financial Fined $70,000 for Trade Reporting Violations
Failed to include required No Remuneration indicator on TRACE reports
2025-10-07 /CRD 2308853 /TN
Timothy Daniel Curran Suspended for Taking Customer Information to New Firm
Took confidential customer information when leaving for new firm
2025-10-07 /CRD 133642 /TX
Torch Securities LLC Cancelled for Failure to Pay FINRA Dues and Fees
Failure to pay FINRA dues and fees