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Broker records
2,290 records on file, newest first
2025-06-16 /CRD 5320629 /TX
Kevin John Herne Suspended One Year and Fined $5,000 for Failing to Disclose Felony Charge
Willfully failed to disclose felony charge for over two years
2025-06-16 /CRD 2630518 /NJ
Nicholas Joseph Lorenzo Fined $5,000 and Suspended Nine Months for Surveillance Supervision Failures
Failed to supervise trading compliance group's review of surveillance reports
2025-06-16 /CRD 1990612 /CT
John Stephen Pronovost Fined $7,500 and Suspended Two Months for Undisclosed Outside Business Activity
Engaged in undisclosed outside business activity as estate trustee and false attestations
2025-06-16 /CRD 2216651 /CA
Roy Reese Fined $10,000 and Suspended Nine Months for Forwarding Suspected Fraudulent Funds
Forwarded approximately $12000 in suspected fraudulent funds despite red flags
2025-06-16 /CRD 717332 /MS
Howard O’Keefe Graham Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-16 /CRD 7360336 /MO
Amber Nicole Cook Suspended for Failure to Provide Information
Suspended for failure to provide information
2025-06-16 /CRD 7360336 /MO
Amber Nicole Cook Suspension Lifted After Providing Information
Suspended for failure to provide information
2025-06-13 /CRD 7214627 /NC
Kwabena Adusei Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-13 /CRD 5349513 /FL
Rezwan Mohammed Alam Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-13 /CRD 721298 /IA
Bennett Knapp Ely Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-11 /CRD 283477 /NY
Rialto Markets Fined $50,000 for Cybersecurity Failures Leading to Data Breach
Cybersecurity failures led to data breach affecting 4400 customers and $1 million fraud
2025-06-10 /CRD 2862097 /FL
Evan Pfeuffer Barred from Securities Industry for Refusing to Cooperate with FINRA
Refused to provide information and documents to FINRA