The database
Broker records
2,290 records on file, newest first
2025-06-24 /CRD 10690 /PA
SEI Investments Distribution Fined $150,000 for TRACE Reporting Failures
Failed to report interdealer transactions to TRACE and inaccurate capacity reporting
2025-06-23 /CRD 290215 /FL
Velox Clearing Fined $1.3 Million for AML and Recordkeeping Failures
AML program failures and failure to preserve over 10000 off-channel communications
2025-06-23 /CRD 6603428 /TX
Jeffrey Alan Arbeit Barred for Refusing to Cooperate with Investigation into Private Securities Transactions
Refused to cooperate with investigation into unreported private securities transactions
2025-06-23 /CRD 7173084 /MO
Vincent Gilliard Barred for Refusing to Provide Testimony to FINRA
Refused to appear for on-the-record testimony regarding inaccurate registration information
2025-06-23 /CRD 7353052 /FL
Mingzhe Du Fined $7,500 and Suspended Two Months for Off-Channel Communications
Caused firm to maintain incomplete records through thousands of off-channel communications
2025-06-23 /CRD 375297 /LA
John Timothy Rice Sr. Suspended 18 Months and Ordered to Pay $127,549 for Sharing Block Trade Information
Shared material nonpublic information about block orders causing $71000 in customer harm
2025-06-23 /CRD 6798955 /CA
Bingshan Song Fined $25,000 and Suspended for Supervision Failures and Off-Channel Communications
Failed to supervise off-channel communications and caused incomplete books and records
2025-06-23 /CRD 152338 /NY
Mercury Capital Advisors Expelled from FINRA for Failure to Provide Information
Expelled for failure to provide information or keep information current
2025-06-23 /CRD 137662 /CO
Synapse Brokerage Expelled from FINRA for Failure to Provide Information
Expelled for failure to provide information or keep information current
2025-06-16 /CRD 7477 /MN
Colliers Securities Fined $55,000 for Municipal Securities Reporting Failures
Failed to report municipal securities transactions with required indicators and disclose mark-ups
2025-06-16 /CRD 129052 /PA
PNC Investments Fined $200,000 for Variable Annuity Exchange Surveillance Failures
Failed to surveil variable annuity exchange rates
2025-06-16 /CRD 2372551 /MA
Diane Mottola Daly Suspended 12 Months for AML and Surveillance Supervision Failures
Failed to supervise trading surveillance and implement reasonable AML program