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Broker records
2,290 records on file, newest first
2025-08-18 /CRD 2985613
George Stratis Suspended for Failure to Provide Information
Suspended for failure to provide information
2025-08-18 /CRD 6787085 /CT
Anna Marie Verzosa Suspended for Failure to Provide Information
Suspended for failure to provide information
2025-08-14 /CRD 793 /MO
Stifel Nicolaus Fined $175,000 for Rule 606 Reporting Violations
Inaccurate Rule 606 reports; supervisory failures
2025-08-14 /CRD 10111 /GA
PFS Investments Ordered to Pay $710,738 in Restitution for Mutual Fund Overcharges
Failure to apply mutual fund sales charge waivers
2025-08-14 /CRD 6583919 /NE
Derrick Hostert Suspended for Falsifying Insurance Claim
Falsifying insurance claim form
2025-08-13 /CRD 6192239 /WI
Brandon Jerome Larsen Suspended for Unauthorized Discretionary Trading
Unauthorized discretionary trading
2025-08-12 /CRD 3496 /AR
Stephens Inc. Fined $90,000 for Political Contribution Supervision Failures
Failure to supervise MFP political contributions
2025-08-11 /CRD 19616 /MO
Wells Fargo Clearing Services Fined $275,000 for Municipal Advisor Supervisory Failures
Failure to supervise for municipal advisor compliance
2025-08-11 /CRD 2822317 /NJ
Mack Leon Miller Suspended for Excessive Trading in Senior Customer Accounts
Excessive trading in senior customer accounts
2025-08-11 /CRD 6641769 /FL
Noah Dewayne Shaw Barred for Failure to Provide Information
Barred for failure to provide information to FINRA
2025-08-08 /CRD 4779103 /KY
Brenton E. Ditto Suspended for Unsuitable GNMA Bond Recommendation
Unsuitable recommendation of complex bonds to senior customer
2025-08-08 /CRD 5602157 /VA
Simon Michel Joseph Suspended for Failing to Disclose State Regulatory Action
Failure to disclose state regulatory action on Form U4