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Broker records
2,290 records on file, newest first
2025-06-10 /CRD 1310742 /FL
Jose Anthony Quinones Barred for Refusing to Cooperate with FINRA Investigation
Refused to provide information during investigation into undisclosed outside business activity
2025-06-10 /CRD 6959513 /FL
Lawerence Nathaniel Parker Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-10 /CRD 5366726 /PR
Gian Carlo Piovanetti Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-10 /CRD 6063246 /NY
Bryan James Moskowitz Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-06-09 /CRD 35865 /PA
Susquehanna Financial Group Fined $100,000 for TRACE Reporting Deficiencies
Inaccurate TRACE reporting without required NR indicator
2025-06-09 /CRD 6906891 /IL
Sotirios Pappas Suspended Six Months for Failing to Disclose Felony Charge and Judgments
Failed to disclose felony charge and three judgments totaling over 700000 euros
2025-06-09 /CRD 6207055 /SC
FINRA Files Complaint Against Andrew Buckanavage for Conversion and Failure to Testify
Alleged conversion of $177962 through false expense reports and failure to testify
2025-06-09 /CRD 6830489 /ID
Kristina Jaymes Hoisington Barred for Failure to Provide Information
Barred for failure to provide information
2025-06-06 /CRD 165429 /NY
Drivewealth Fined $100,000 for Customer Account Transfer Delays
Failed to timely process 1206 customer account transfer requests
2025-06-06 /CRD 284750 /NY
EKATS Securities Expelled from FINRA for Failure to Provide Information
Expelled for failure to provide information or keep information current
2025-06-05 /CRD 128351 /NY
SG Americas Securities Fined $275,000 for TRACE Reporting Failures
Multiple TRACE reporting failures including missing indicators and inaccurate capacity reporting
2025-06-05 /CRD 4398600 /NY
FINRA Files Complaint Against Sebastian Bongiovanni for Failing to Comply with Information Requests
Alleged failure to provide information regarding potential mortgage fraud and structured withdrawals