The database
Broker records
2,290 records on file, newest first
2025-10-06 /CRD 6535514 /VA
Jihoon Park Barred for Failure to Provide Information
Barred for failure to provide information to FINRA
2025-10-06 /CRD 5740603 /TX
Christian Yavier Gomez Suspended for Failure to Provide Information
Suspended for failure to provide information to FINRA
2025-10-03 /CRD 4854743 /NC
Antaun Cyril Lewis Barnett Suspended for Misusing Firm Funds
Improperly charged personal expenses to firm accounts
2025-10-02 /CRD 294271 /MA
Hoopoe Capital Markets Fined $20,000 for Private Placement Filing Failures
Failed to file private placement memorandums with FINRA for five offerings
2025-10-02 /CRD 14023 /GA
Synovus Securities Fined $315,000 for Electronic Signature Forgery Failures
Failed to supervise electronic signatures resulting in over 150 forged customer documents
2025-10-02 /CRD 4386482 /GA
Leah Renee Ruark Suspended for Forging Customer Signatures
Forged and falsified customer signatures on firm documents
2025-10-02 /CRD 2463703 /NY
Vincent Jerome Camarda Suspended for Failure to Pay Arbitration Award
Suspended for failure to pay multiple arbitration awards
2025-10-02 /CRD 2797856 /NY
James Edward McArthur Suspended for Failure to Pay Arbitration Awards
Suspended for failure to pay multiple arbitration awards
2025-10-01 /CRD 7449 /Canada
Canaccord Genuity Wealth Management Fined $75,000 for Supervisory Failures
Failed to establish supervisory system for outside brokerage accounts and branch inspections
2025-10-01 /CRD 144076 /OR
Cash App Investing Fined $375,000 for Customer Data Security Failure
Failed to safeguard customer information leading to data breach affecting 8.2 million customers
2025-10-01 /CRD 4068906 /TX
George John Cairnes Suspended for Undisclosed Outside Business Activity
Engaged in undisclosed outside business activity with firm customer
2025-10-01 /CRD 1223438 /NY
William Coppa Suspended and Fined $10,000 for Falsifying Trade Records
Falsified representative codes to circumvent state registration requirements