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Broker records
2,290 records on file, newest first
2025-07-21 /CRD 847360 /SC
Donald Spivey Barred for Refusing Testimony in Best Interest Investigation
Refusal to appear for FINRA testimony
2025-07-18 /CRD 36143 /NY
Integral Wealth Securities Fined $20,000 for Late Private Placement Filings
Untimely private placement filings
2025-07-17 /CRD 282756 /PR
First Southern LLC Fined $250,000 for Reg BI and Net Capital Violations
Reg BI compliance failures and net capital violations
2025-07-17 /CRD 2174456 /TX
Eric Dupre Barred for Borrowing Over $2.2 Million from Customers
Borrowing from customers without firm approval
2025-07-17 /CRD 6188279 /NE
Daniel Roper Suspended Two Years for Profit-Sharing and Discretionary Trading Violations
Profit-sharing with customer and discretionary trading violations
2025-07-16 /CRD 2064602 /FL
Chuck Roberts Barred for Refusing Additional Testimony in Structured Products Investigation
Refusal to appear for FINRA testimony
2025-07-15 /CRD 4507001 /OK
Tiffany Keigley Barred for Failing to Produce Documents in Fund Distribution Investigation
Failure to produce documents requested by FINRA
2025-07-15 /CRD 6267861 /FL
Shammi Samaroo Barred for Refusing to Cooperate with FINRA Investigation
Refusal to produce documents and information for FINRA
2025-07-14 /CRD 6128916 /NY
Ishmael Williams Barred for False Statements to FINRA and Continuing Education Fraud
False statements to FINRA and CE fraud
2025-07-11 /CRD 79 /NY
J.P. Morgan Securities Fined $350,000 and Ordered to Pay Over $1.8 Million for Syndicate Preferred Stock Supervision Failures
Failure to supervise syndicate preferred stock recommendations
2025-07-11 /CRD 3090359 /NJ
Christopher Matuch Suspended Four Months for Mismarking Trading Positions
Mismarking trading positions to conceal losses
2025-07-10 /CRD 4577898 /NY
Michael Colletti Fined and Suspended Eight Months for Unauthorized Trading
Unauthorized trades and quantitatively unsuitable trading