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Broker records
2,290 records on file, newest first
2025-08-25 /CRD 7677993 /IL
Bernie Mohar Suspended for Failure to Provide Information
Suspended for failure to provide information
2025-08-25 /CRD 1483453 /NE
Kathleen Rashleigh Suspended for Failure to Provide Information
Suspended for failure to provide information
2025-08-22 /CRD 17868 /MN
U.S. Bancorp Investments Fined $500,000 for Late Suspicious Activity Reports
Late SAR filings; inadequate AML policies
2025-08-22 /CRD 4560737 /TX
Joseph Kelly Suspended for Excessive Trading and Ordered to Pay $69,830 Restitution
Excessive trading generating excessive commissions
2025-08-22 /CRD 2764977 /NY
Antonio Molinos Suspended for Excessive Trading in Retired Customer’s Accounts
Excessive trading in retired customer accounts
2025-08-21 /CRD 36418 /CT
Interactive Brokers Fined $650,000 for Options Trading Approval Failures
Inadequate options trading approval process; recordkeeping failures
2025-08-21 /CRD 145037 /OH
Navian Capital Securities Fined $40,000 for TRACE Reporting Violations
TRACE reporting violations; supervisory failures
2025-08-21 /CRD 154431 /NY
T3 Trading Group Fined $175,000 for Rule 606 Reporting Failures
Failure to publish Rule 606 reports; supervisory failures
2025-08-21 /CRD 2944992 /TX
William Charles Burks II Suspended for Unsuitable Alternative Investment Recommendations
Unsuitable alternative investment recommendations
2025-08-21 /CRD 4618370 /FL
Dennis Daniel Herrera Suspended for Excessive Trading and Ordered to Pay Restitution
Excessive trading causing customer losses
2025-08-19 /CRD 3048728 /NJ; NY
Jeffrey Kenneth Galvani and Stuart A. Jeffrey Charged with Refusing Testimony
Alleged failure to provide FINRA testimony
2025-08-19 /CRD 4656104 /OK
William Shane Garrow Barred for Failure to Provide Information
Barred for failure to provide information to FINRA