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Broker records
2,290 records on file, newest first
2025-10-01 /CRD 2391965 /MN
Jeffrey Roy Schuur Suspended for Unsuitable Variable Annuity Exchanges
Recommended unsuitable variable annuity exchanges causing loss of customer benefits
2025-09-30 /CRD 40980 /FL
United Capital Markets Fined $25,000 for Supervisory and Communication Failures
Inadequate supervision of executive trading and unapproved communications
2025-09-30 /CRD 126588 /NJ
Velocity Clearing Fined $1 Million for Failing to Detect Manipulative Trading
Failed to detect and investigate manipulative trading
2025-09-30 /CRD 5021526 /NY
John N. Girgis Barred for Refusing to Provide Testimony
Refused to provide testimony regarding outside business activities and customer trading
2025-09-30 /CRD 6317373 /MD
Luke Lannister Suspended Two Months for Unauthorized Discretion
Exercised unauthorized discretion and made false compliance attestations
2025-09-29 /CRD 36418 /CT
Interactive Brokers Fined $125,000 for Municipal Bond Disclosure Failures
Failed to disclose market discount tax implications on municipal bonds
2025-09-29 /CRD 156170 /CA
Stockpile Investments Fined $50,000 for Misleading Crypto Communications
Misleading crypto asset communications lacking proper disclosures
2025-09-29 /CRD 1808647 /CA
Jorey T. Bernstein Barred for Refusing to Provide Documents
Refused to provide documents in investigation of Form U5 allegations
2025-09-29 /CRD 3798 /MA
Wood (Arthur W.) Company Expelled for Failure to Provide Information
Expelled for failure to provide information
2025-09-25 /CRD 6347352 /PA
Brian James Pavelko Charged with Failing to Comply with FINRA Requests
Accused of failing to provide documents regarding PUA benefits
2025-09-24 /CRD 7870 /NE
TD Ameritrade Firms Fined $550,000 for Trade Reporting Failures
Failed to report millions of trades and LOPR violations
2025-09-23 /CRD 6283466 /NY
Sean T. Sullivan Charged with Unauthorized Trading
Accused of placing unauthorized trades in customer accounts