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Broker records
2,290 records on file, newest first
2025-09-08 /CRD 152603 /CA
Woodside Capital Securities Fined $30,000 for Principal and AML Deficiencies
Failed to maintain two principals and delayed AML testing
2025-09-08 /CRD 7422353 /MO
Willnard Edwrence Love Barred for Falsifying Exam Results
Falsified exam results and produced altered score report
2025-09-08 /CRD 7297643 /FL
Maximiliano Ramirez Suspended for Undisclosed Outside Business Activity
Undisclosed outside business activity contrary to firm directive
2025-09-03 /CRD 23224 /CA
Madison Avenue Securities Fined $125,000 for Inaccurate Consolidated Reports
Inaccurate consolidated reports and inadequate supervision
2025-09-03 /CRD 6207055 /SC
Andrew Buckanavage Barred for Converting $177,962 from Employer
Conversion of employer funds and failure to provide testimony
2025-08-29 /CRD 5274784 /NY
Joseph Warner Rozof Suspended for Discretionary Trading and Off-Channel Communications
Unauthorized discretionary trading; off-channel communications
2025-08-29 /CRD 7802876 /CA
Nathan Reed Waters Suspended for Failure to Provide Information
Suspended for failure to provide information
2025-08-28 /CRD 2637150 /HI
Lyle Hisaji Uyeda Barred for Refusing Testimony in Loan Investigation
Refusal to provide FINRA testimony regarding customer loans
2025-08-28 /CRD 1046105 /FL; CO
Mark Elliot Paverman and Jeffrey Alan Stanley Charged with Multiple Violations
Alleged supervisory failures; alleged misrepresentations to FINRA
2025-08-26 /CRD 79 /NY
J.P. Morgan Securities Fined $150,000 for IPO Prospectus Delivery Failures
IPO prospectus delivery supervisory failures
2025-08-25 /CRD 1237203 /AL
Philip Leo Gazzo Suspended for Sharing Commissions with Unregistered Entity
Sharing commissions with unregistered entity
2025-08-25 /CRD 6074776 /CA
Zachary Ellis Taylor Suspended for Unsuitable Options Recommendations to Seniors
Unsuitable options recommendations to senior customers