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Broker records
2,290 records on file, newest first
2025-04-14 /CRD 1599385 /TX
Kelly Ray Moore Barred for Refusing to Cooperate with FINRA Investigation
Refusal to provide information regarding alleged short-term mutual fund trading
2025-04-14 /CRD 1383235 /NE
Curtis Smith Suspended for Impersonating Customer and Unauthorized Discretion
Customer impersonation and unauthorized discretion
2025-04-11 /CRD 159744 /NY
Joseph Stone Capital Fined $35,000 for Taping Rule Violations
Taping Rule compliance failures
2025-04-11 /CRD 140988 /NY
MD Global Partners Fined for Willful Reg BI Violations
Willful Reg BI violations, late private placement filings
2025-04-11 /CRD 2503507 /NY
Joseph Eisler Barred for Profit-Sharing Arrangement with Customer
Undisclosed profit-sharing with customer and off-channel communications
2025-04-11 /CRD 6211219 /FL
Isaiah Thomas Williams Jr. Barred for Refusing to Provide Information to FINRA
Refusal to provide information in FINRA investigation
2025-04-11 /CRD 6266210 /CA
Muhammad Wahdy Suspended 15 Months for Undisclosed Investment Advisory Business
Undisclosed investment advisory business and private securities transactions
2025-04-11 /CRD 284750 /NY
EKATS Securities Suspended for Failing to Provide Information
Failure to provide information to FINRA
2025-04-11 /CRD 152338 /NY
Mercury Capital Advisors Suspended for Information Deficiency
Failure to provide information or keep information current
2025-04-11 /CRD 137662 /CO
Synapse Brokerage Suspended for Failing to Provide Information
Failure to provide information to FINRA
2025-04-10 /CRD 2339324 /CA
Robert Tweed Receives Sanction Determination on Remand from SEC
Misrepresentation and failure to disclose material facts about private fund
2025-04-08 /CRD 6367780 /NJ
Thomas Rapp Suspended 21 Months for Undisclosed Private Equity Fund Activities
Undisclosed outside business activities and private securities transactions