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Broker records
2,290 records on file, newest first
2025-05-27 /CRD 127818 /NY
Open to the Public Investing Fined $350,000 for Influencer Marketing Violations
Influencer marketing and supervision violations
2025-05-27 /CRD 7235778 /NJ
Jason Rodriguez Suspended for Failing to Disclose Felony Charges
Failure to disclose felony charges
2025-05-27 /CRD 115542 /IL
Third500, LLC Suspension for Failure to Provide Information
Failure to provide information to FINRA
2025-05-22 /CRD 7291210 /KY
Andrew S. Walters Suspension Lifted After Providing Information
Suspended for failure to provide information
2025-05-20 /CRD 5397 /NY
David Lerner Associates Suspended Two Years for Unsuitable Sales to Seniors
Unsuitable sales of illiquid limited partnerships to seniors
2025-05-20 /CRD 188 /FL
AAG Capital Fined and Ordered to Pay Restitution for RILA Supervision Failures
RILA supervision and Reg BI compliance failures
2025-05-20 /CRD 20999 /FL
Calton & Associates Fined for Trade Reporting and Confirmation Disclosure Failures
Confirmation disclosure and trade reporting failures
2025-05-20 /CRD 3189691 /NJ
Nicholas Armellino Barred for Refusing to Testify in Regulatory Tip Investigation
Failure to testify in regulatory tip investigation
2025-05-20 /CRD 1255769 /NY
Daniel Lerner Suspended for Unsuitable Limited Partnership Sale to 92-Year-Old
Unsuitable limited partnership sale to senior customer
2025-05-20 /CRD 871038 /FL
Martin Lerner Suspended for Failing to Supervise Limited Partnership Sales
Failure to supervise limited partnership sales to seniors
2025-05-20 /CRD 2528937 /NY
Kenneth Malm Suspended for Accepting $1 Million Bequest from Customer
Accepting bequest from customer without firm approval
2025-05-20 /CRD 6188857 /CT
Maxim Tulupnikoff Suspended for Unsuitable Limited Partnership Recommendations
Unsuitable limited partnership recommendations