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Broker records
2,290 records on file, newest first
2025-04-22 /CRD 104138 /NJ
SpeedRoute LLC Fined $300,000 for Market Access and AML Failures
Market access control failures, AML deficiencies
2025-04-22 /CRD 1385168 /NC
Scot Barringer Suspended for Unsuitable Bond Recommendations
Unsuitable speculative bond recommendations
2025-04-22 /CRD 2446395 /VA
Kyle Kim Suspended for Undisclosed Outside Business Activity
Undisclosed outside business activity involving firm customers
2025-04-22 /CRD 4607595 /NJ
Brian Roth Suspended for Undisclosed Customer Loan
Undisclosed borrowing from customer
2025-04-21 /CRD 41813 /MD
Percival Financial Partners and Kenneth Taylor Fined for Net Capital Violations
Net capital violations, inaccurate financial reporting, conducting business while suspended
2025-04-21 /CRD 79 /NY
J.P. Morgan Securities Fined $650,000 for Regulation M Violations
Untimely and inaccurate Regulation M notifications
2025-04-21 /CRD 601754 /PA
Three Individuals Sanctioned for Municipal Bond Order Violations
Municipal bond order priority violations
2025-04-17 /CRD 1778892 /TX
Robert Muller Jr. Suspended for Undisclosed Private Securities Transaction
Undisclosed private securities transaction
2025-04-16 /CRD 6102769 /TX
Matthew Mierzycki’s Registration Revoked for Failure to Pay Fines
Registration revoked for failure to pay fines
2025-04-15 /CRD 104357 /NY
Sonenshine & Company Fined for Anti-Money Laundering Deficiencies
Anti-money laundering compliance failures
2025-04-15 /CRD 4648278 /PR
Manuel Melendez Barred for Borrowing from Customers and Misusing Funds
Unauthorized customer borrowing and fund misuse
2025-04-14 /CRD 6623905 /NY
Sam Jakobs Barred for Failing to Produce Information in FINRA Investigation
Failure to produce documents and information in FINRA investigation