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Broker records
2,290 records on file, newest first
2025-04-29 /CRD 36418 /CT
Interactive Brokers Fined $400,000 for Reporting Failures
Customer complaint reporting failures, disclosure violations
2025-04-29 /CRD 1152319 /NY
Robert Meyer Barred for Refusing to Testify in Continuing Education Investigation
Refusal to testify in continuing education cheating investigation
2025-04-29 /CRD 1497403 /AR
Alton Raney II Barred for Refusing to Testify After Termination for Mutual Fund Trading Concerns
Refusal to testify regarding short-term mutual fund trading concerns
2025-04-29 /CRD 3269058 /RI
Thomas Vigil Suspended 12 Months for Unsuitable Annuity Recommendations
Unsuitable variable annuity recommendations and signature forgery
2025-04-28 /CRD 7505213 /CA
Three Individuals Barred for Failing to Provide Information to FINRA
Barred for failure to provide information to FINRA
2025-04-25 /CRD 18483 /NY
TradeUp Securities and US Tiger Securities Fined for AML Failures
AML program deficiencies and foreign account due diligence failures
2025-04-24 /CRD 150631 /MI
Regulus Financial Group Fined for Incomplete Form CRS Disclosures
Incomplete Form CRS disciplinary disclosures
2025-04-24 /CRD 5051310 /CA
James Burton Jr. Barred for Failing to Provide Documents in Crypto Investigation
Failure to provide documents in crypto investment investigation
2025-04-24 /CRD 6971698 /SC
Kimberly Sorrow Barred for Converting Funds from Fraudulent Checks
Conversion of funds from fraudulent check deposits
2025-04-24 /CRD 2435263 /NY
Meredith Webber Charged with Failing to Cooperate in Misappropriation Investigation
Alleged failure to cooperate in misappropriation investigation (complaint filed, not adjudicated)
2025-04-23 /CRD 4689031 /CA
David Wong Appeals Bar for Converting Customer Funds
Conversion of customer funds
2025-04-22 /CRD 3001 /IN
American Trust Investment Services Fined $100,000 and Ordered to Pay Restitution
Reg BI failures, unregistered securities sales, supervisory deficiencies