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Broker records
2,290 records on file, newest first
2025-07-29 /CRD 5125813 /TX
Venugopal Reddy Suspended Six Months for Private Securities Transactions
Private securities transactions without prior firm notice
2025-07-28 /CRD 2435263 /NY
Meredith Webber Barred for Failing to Cooperate in Elder Misappropriation Investigation
Failure to provide documents and testimony in elder misappropriation investigation
2025-07-28 /CRD 4228250 /NY
Devin Wicker Barred and Ordered to Pay $50,000 for Converting Customer Funds
Conversion of customer funds
2025-07-28 /CRD 1658201 /TX
Charles Burford Suspended Six Months for Unauthorized Trades in Deceased Customer’s Account
Unauthorized trades in deceased customer's account
2025-07-25 /CRD 39473 /FL
TradeStation Securities Fined $85,000 for Crypto-Related Communication Violations
Crypto-related retail communication violations
2025-07-24 /CRD 306692 /FL
Greenbird Capital Fined $50,000 for Private Placement Solicitation and Telemarketing Failures
Inadequate supervision of private placement solicitations and telemarketing violations
2025-07-24 /CRD 2223161 /NY
Francis Smith Suspended One Month for False Continuing Education Certification
False certification of continuing education completion
2025-07-23 /CRD 5932062 /NY
Andrew Mack Suspended Three Months for Discretionary Trading Without Authorization
Exercising discretion without written authorization
2025-07-22 /CRD 4029698 /OK
Chad Rogers Suspended 45 Days for Impersonating Customers
Impersonating customers during phone calls
2025-07-22 /CRD 173087 /CA
ESF Equity LP Expelled for Failure to Provide Information
Failure to provide information or keep information current
2025-07-22 /CRD 41813 /MD
Percival Financial Partners Cancelled for Failure to Pay FINRA Fees
Failure to pay FINRA dues and fees
2025-07-21 /CRD 7575351 /MO
Calvin Gray Barred Amid Federal Bank Fraud Charges
Failure to provide documents during FINRA investigation