The database
Broker records
2,290 records on file, newest first
2025-08-08 /CRD 1061209 /IL
James Thaddeus Walesa Charged with Failing to Cooperate with Investigation
Alleged failure to cooperate with FINRA investigation
2025-08-08 /CRD 7706430 /CA
Kevin Tong You Suspended for Failure to Provide Information
Suspended for failure to provide information
2025-08-07 /CRD 3777 /UT
Wilson-Davis & Co., Byron Barkley, and James Snow Jr. Fined for Short Sale Violations
Short sale locate violations; supervisory failures; AML deficiencies
2025-08-07 /CRD 361 /NY
Goldman Sachs Fined $250,000 for IPO Conflict of Interest and Registration Violations
Conflict of interest in IPO; unregistered investment banking activity
2025-08-07 /CRD 7704553 /NY
Nathaniel Edwin Mogollan Barred for Refusing FINRA Testimony
Refusal to provide FINRA testimony
2025-08-07 /CRD 7801564 /NY
Ruben Rojas-Salvador Barred for Refusing FINRA Testimony
Refusal to provide FINRA testimony
2025-08-06 /CRD 148493 /NY
Odeon Capital Group LLC Fined $75,000 for Prearranged Trading and Disclosure Failures
Failure to supervise for prearranged trading; mark-up disclosure failures
2025-08-06 /CRD 1426444 /NJ
Robert George Gorham Suspended for Failure to Comply with Arbitration Award
Failure to comply with arbitration award
2025-08-05 /CRD 103792 /NY
D. Boral Capital LLC Fined $125,000 for Net Capital Violations
Net capital violations; inadequate supervisory procedures
2025-08-05 /CRD 7625979 /OR
Ali F. Chehab Charged with Failing to Provide Information to FINRA
Alleged failure to provide information to FINRA
2025-08-04 /CRD 6705502 /NY
Ramin Nathaniel Abrams Suspended for Misrepresentations in Customer Letters
Negligent misrepresentations in customer letters
2025-07-29 /CRD 15768 /FL
Noble Capital Markets Fined $45,000 for Private Placement Supervision Failures
Inadequate supervision of private placement solicitations