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Broker records
2,290 records on file, newest first
2025-05-06 /CRD 3241331 /NY
Joseph Steward Suspended for Excessive Trading in Customer Account
Excessive trading and Reg BI violations
2025-05-05 /CRD 2108307 /FL
Frank Lumpuy Suspended for Undisclosed Outside Business Activities
Undisclosed active outside business activities
2025-05-05 /CRD 5567091 /NY
Multiple Individuals Barred for Failing to Provide Information to FINRA
Barred for failure to provide information to FINRA
2025-05-02 /CRD 126694 /NY
Silver Leaf Partners Appeals SEC Decision on Payments to Non-Members
Paying transaction-based compensation to non-members
2025-05-02 /CRD 2547590 /CA
Tejinder Singh Charged with Failing to Cooperate in PPP Loan Investigation
Alleged failure to cooperate in PPP loan investigation (complaint filed, not adjudicated)
2025-05-02 /CRD 4236679 /FL
Ariel Rivero Registration Revoked for Failure to Pay Fines
Registration revoked for failure to pay fines
2025-05-02 /CRD 4236679 /FL
Ariel A. Rivero Registration Revoked for Failure to Pay Fines
Failure to pay FINRA fines and costs
2025-05-01 /CRD 142910 /NY
Pinnacle Investments Fined for NT-ETP Supervision and Branch Inspection Failures
NT-ETP supervision failures, branch inspection failures
2025-05-01 /CRD 6144561 /FL
Mario Martinez Barred for Failing to Provide Information in Loan Investigation
Failure to provide information in customer loan investigation
2025-05-01 /CRD 408501 /TX
Anthony Saab Barred for Refusing to Cooperate in Alternative Investment Investigation
Failure to cooperate in alternative investment investigation
2025-05-01 /CRD 1791002 /NJ
John Fendrich Jr. Suspended and Ordered to Pay Restitution for Excessive Trading
Excessive trading and Reg BI violations
2025-05-01 /CRD 2505390 /TX
Robert Fort Suspended for Late Disclosure of Felony Charge
Late disclosure of felony charge