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Broker records
2,290 records on file, newest first
2025-06-04 /CRD 13577 /NJ
Network 1 Financial Securities Fined $50,000 for Private Placement Supervision Failures
Failed to supervise private placement activity and distributed misleading information
2025-06-04 /CRD 156691 /NY
XP Investments US Fined $185,000 for Overstating Advertised Trade Volume
Overstated advertised trade volume by 446 million shares
2025-06-04 /CRD 1229733 /CA
FINRA Files Complaint Against Michael Cheng Ning for Failing to Provide Records
Alleged failure to provide records as custodian for former member firm
2025-06-04 /CRD 5801366 /FL
Durgesh Rajawat Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-06-02 /CRD 46947 /TN
Silver Oak Securities Fined $65,000 for Consolidated Report Supervision Failures
Supervisory system not reasonably designed for consolidated reports
2025-06-02 /CRD 7288073 /CT
Kevin Nowaskey Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-05-30 /CRD 15062 /MO
General Securities Corp Fined for Incomplete Form CRS Disclosures
Incomplete Form CRS disciplinary disclosures
2025-05-30 /CRD 5824101 /FL
Damon Perez Barred for Refusing to Provide Information in Regulatory Tip Investigation
Failure to provide information in regulatory tip investigation
2025-05-30 /CRD 2571083 /MI
Jody Vander Weide Barred for Failing to Provide Information About Undisclosed OBA
Failure to provide information regarding undisclosed outside business activity
2025-05-29 /CRD 19714 /NY
Barclays Capital Fined $2.25 Million for Options Manipulation Surveillance Failures
Options manipulation surveillance failures
2025-05-28 /CRD 16843 /NY
Firstrade Securities Fined for Crypto Asset Communication Failures
Crypto asset communication disclosure failures
2025-05-28 /CRD 2591547 /NY
Brian Court Suspended for Unauthorized Discretionary Trading
Unauthorized discretionary trading