Broker records

Suspended for failure to pay arbitration award - later lifted

$225,000 Read the record →

2025-07-08 /CRD 134 /NY

Cantor Fitzgerald Fined $225,000 for Regulation M Violations

fined

Untimely and inaccurate Regulation M notifications

2025-07-08 /CRD 14458 /CA

Investment Placement Group Fined $100,000 for Messaging Supervision Failures

fined

Failure to supervise messaging platform and preserve communications

$100,000 Read the record →

2025-07-07 /CRD 7413 /CO

Isaak Bond Investments Fined $20,000 for Net Capital Violations

fined

Net capital violations and recordkeeping failures

$20,000 Read the record →

2025-07-07 /CRD 5644622 /PA

Santiago Torres Barred for Failing to Provide Documents and Testimony

Failure to provide documents and testimony to FINRA

2025-07-01 /CRD 7126671 /NY

Mohammed A. Salim Barred from Securities Industry for Refusing to Testify

Refused to appear for FINRA on-the-record testimony

2025-07-01 /CRD 1355980 /NY

Brian Richard Baine Suspended Three Months for Signing Customer Signatures

Signed customer signatures without permission on insurance documents

2025-07-01 /CRD 7126671 /NY

Mohammed Salim Barred for Refusing to Testify in FINRA Investigation

Refusal to appear for FINRA testimony

2025-07-01 /CRD 1355980 /NY

Brian Baine Suspended Three Months for Signing Customer Names Without Permission

Signing customer names without permission

2025-07-01 /CRD 1355980 /NY

Brian Richard Baine Suspended for Signing Customer Documents Without Authorization

Forgery of customer signatures on insurance documents

2025-06-30 /CRD 4678755 /FL

Nicholas Stephen Coubrough Barred for Refusing to Cooperate with Off-Channel Communications Investigation

Refused to cooperate with investigation into off-channel communications and seeking improper payments

2025-06-30 /CRD 7509418 /VA

Paige Margarette Putnam Barred for Refusing to Cooperate with Investigation into Falsified Exam Document

Refused to cooperate with investigation into allegedly falsified Series 66 exam document