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Broker records
2,290 records on file, newest first
2025-05-19 /CRD 42677 /TX
MDB Capital Fined for Insider Trading Prevention Deficiencies
Inadequate MNPI and conflict of interest controls
2025-05-19 /CRD 19616 /MO
Wells Fargo Clearing Services Fined for Customer Information Safeguarding Failures
Customer information safeguarding failures
2025-05-19 /CRD 4997026 /NY
Multiple Individuals Suspended for Failing to Provide Information to FINRA
Suspended for failure to provide information to FINRA
2025-05-16 /CRD 4409118 /OH
Todd Leightey Suspended for Unsuitable Variable Annuity Recommendations
Unsuitable variable annuity recommendations and application inaccuracies
2025-05-16 /CRD 2250454 /CA
Jose Navarro Suspended 12 Months for Private Securities Transactions and Customer Borrowing
Private securities transactions and customer borrowing violations
2025-05-14 /CRD 149486 /NY
BTG Pactual Fined $400,000 for Anti-Money Laundering Deficiencies
Anti-money laundering compliance deficiencies
2025-05-14 /CRD 289015 /PA
Honeycomb Portal Fined $140,000 for Crowdfunding Intermediary Violations
Crowdfunding intermediary violations and recordkeeping failures
2025-05-14 /CRD 7061837 /NY
Johnathon Sawaged Barred for Refusing to Testify After Termination for Client Payment Issues
Failure to testify regarding client payment handling allegations
2025-05-14 /CRD 6595452 /TN
Ryan Spencer Barred for Refusing to Testify After Expense Policy Termination
Failure to testify regarding expense policy non-compliance
2025-05-13 /CRD 361 /NY
Goldman Sachs Fined $1.45 Million for CAT Reporting and Trade Accuracy Failures
CAT reporting failures and trade accuracy violations
2025-05-13 /CRD 814936 /CA
Phillip Anderson Suspended for Unsuitable Bond Recommendations to Seniors
Unsuitable speculative bond recommendations to seniors
2025-05-13 /CRD 4391591 /CA
David Ravarino Suspended for False Outside Business Activity Disclosures
False outside business activity disclosures