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Broker records
2,290 records on file, newest first
2025-05-12 /CRD 6288496 /NJ
Kyle Charters Suspended for Undisclosed Private Securities Transaction
Undisclosed private securities transaction
2025-05-12 /CRD 7039921 /NV
Judah Spinner Suspended 12 Months for Undisclosed Fund Solicitation
Undisclosed private securities transactions
2025-05-12 /CRD 173087 /CA
Multiple Firms Suspended for Failing to Provide Information to FINRA
Failure to provide information or meet eligibility requirements
2025-05-12 /CRD 20854 /GA
First Commonwealth Securities Corporation Suspended for Information Failures
Failure to provide information or keep information current
2025-05-09 /CRD 42568 /NY
Siebert Williams Shank Fined for Municipal Securities Trade Reporting Failures
Municipal securities trade reporting failures
2025-05-08 /CRD 35699 /TX
Global Financial Services Fined for Reg BI and Concentration Supervision Failures
Reg BI violations and bond concentration failures
2025-05-08 /CRD 289063 /NY
Webull Financial Fined $1.6 Million for Social Media Influencer and Compliance Failures
Influencer communication failures, Form CRS delivery failures, market data display violations
2025-05-08 /CRD 5581487 /WI
Nicholas Stovall Barred for Undisclosed Private Securities Transactions in Fraudulent Scheme
Undisclosed private securities transactions in fraudulent promissory notes
2025-05-08 /CRD 2232647 /TX
Eduardo Leon Jr. Suspended for Unsuitable Volatility Product and Bond Recommendations
Unsuitable volatility product and foreign bond recommendations
2025-05-08 /CRD 7581512 /OK
Natalie Pham Suspended 12 Months for Mortgage Loan Fraud
Misrepresentations to mortgage lender
2025-05-08 /CRD 4429212 /NY
Nicholas Schiano Suspended for Excessive Trading in Senior Customers’ Accounts
Excessive trading in senior customer accounts
2025-05-08 /CRD 6085344 /NJ
Joseph Tranchina Suspended and Ordered to Pay Restitution for Excessive Trading
Excessive trading violations