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Broker records
2,290 records on file, newest first
2025-09-22 /CRD 4362678 /MD
Clark James Kline Suspended Two Years for Causing Negative Brokerage Balance
Made payments knowing bank account lacked sufficient funds
2025-09-18 /CRD 36654 /NY
ANZ Securities Fined $50,000 for TRACE Reporting Violations
Inaccurate TRACE reporting and supervisory deficiencies
2025-09-18 /CRD 3168629 /FL
Carol Lynn Abdo-Brownsberger Suspended Six Months for Inaccurate Statements
Made inaccurate statements about trustee role and undisclosed brokerage account
2025-09-18 /CRD 304126 /NJ
Fundit Inc. Suspended for Failure to Provide Information
Suspended for failure to provide information
2025-09-17 /CRD 145579 /OK
Oak Hills Securities Fined $125,000 for Private Placement Violations
Private placement contingency and escrow violations
2025-09-16 /CRD 3056412 /OR
Gregory Lawrence Jacobs Barred for Refusing to Provide Documents
Refused to provide documents regarding personal email use and customer information sharing
2025-09-16 /CRD 2017220 /TX
Thomas John Lykos Jr. Suspension Affirmed for Exam Misconduct
Violated examination rules of conduct
2025-09-15 /CRD 6916323 /PR
Harry Harper Warnick Barred for Failing to Provide Information to FINRA
Failed to provide information in investigation of undisclosed activities
2025-09-12 /CRD 285406 /NY
Madison Global Partners Fined $20,000 for Net Capital Violations
Net capital deficiencies and unauthorized business expansion
2025-09-12 /CRD 7509743 /AZ
Wyman Sai Barred for Refusing to Provide Testimony
Refused to provide testimony in investigation
2025-09-10 /CRD 2347 /NY
Jefferies LLC Fined $1 Million for Reserve Calculation Errors
Inaccurate reserve formula calculations and supervisory failures
2025-09-10 /CRD 7720831 /NJ
Joshua Ethan Scholnick Charged with Cheating on SIE Examination
Accused of cheating on SIE examination using prohibited materials