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Broker records
2,290 records on file, newest first
2025-06-30 /CRD 1389009 /TX
John Casey Reap Barred for Failing to Cooperate with Municipal Bond Trading Investigation
Failed to provide documents in municipal bond trading investigation
2025-06-30 /CRD 2150508 /CA
Donald Joe Everhart Suspended Three Months for Unsuitable Bond Recommendation Under Reg BI
Violated Reg BI with unsuitable bond recommendation causing customer losses
2025-06-30 /CRD 718618 /CA
Kim Ray Kunz Suspended Seven Months for Associating While Statutorily Disqualified
Continued securities business while suspended and statutorily disqualified
2025-06-30 /CRD 5920347 /TX
Shaheen Ladhani Suspended Two Months for Undisclosed Outside Brokerage Accounts
Maintained undisclosed outside brokerage accounts and made false attestation
2025-06-30 /CRD 1089038 /NH
Paul Xavier Nannicelli Suspended Eight Months for Circumventing Beneficiary Designation Procedures
Circumvented firm procedures to name family members as beneficiaries on customer accounts
2025-06-30 /CRD 1848346 /CT
Thomas Sapio Fined $5,000 and Suspended Two Months for Failing to Supervise Traders Mismarking Positions
Failed to supervise traders who concealed millions in unrealized losses through mismarking
2025-06-30 /CRD 7599050 /TX
Jesus Gabriel Cantu Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-30 /CRD 5142597 /GA
Joshua Morgan Pruitt Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-06-27 /CRD 4579211 /FL
Michael Edwin Magruder Barred for Failing to Provide Information in Customer Loan Investigation
Failed to provide information during investigation into customer loans
2025-06-27 /CRD 5057787 /MN
Courtney Rae Buth Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-25 /CRD 43035 /NC
Southeast Investments and Frank Harmon Black Fined $73,500 for Supervisory Failures
Failed to establish reasonable supervisory system and preserve business-related emails
2025-06-24 /CRD 10674 /PA
NewEdge Securities Fined $125,000 for TRACE Reporting Violations
Failed to report over 19000 interdealer transactions to TRACE