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Broker records
2,290 records on file, newest first
2025-04-07 /CRD 14952 /UT
Alpine Securities Corporation Expelled from FINRA for Customer Account Abuse
Unreasonable account fees, unauthorized transactions, customer asset conversion
2025-04-07 /CRD 7701847 /NJ
Ben Jen and Raymond Rohne Barred for Failing to Cooperate with FINRA Investigation
Failure to provide documents and information, failure to appear for testimony
2025-04-07 /CRD 6637068 /LA
Benjamin Adams Suspended for Forging Signatures on Documents
Forging electronic signatures on firm documents
2025-04-07 /CRD 1477107 /CA
William Conn Suspended for Unauthorized Discretion and Undisclosed Customer Gifts
Unauthorized discretion and undisclosed customer gifts
2025-04-04 /CRD 17007 /NJ
Financial Northeastern Securities Fined for Late TRACE Reporting
Late TRACE reporting of corporate debt securities
2025-04-04 /CRD 130390 /NC
Liberty Partners Financial Services Fined for Multiple Compliance Failures
Reg BI violations, net capital deficiency, AML compliance failures
2025-04-04 /CRD 2762 /NY
TP ICAP Global Markets Americas Fined for Manipulative Trading Surveillance Failures
Inadequate surveillance for manipulative trading
2025-04-03 /CRD 1623353 /CA
Thomas Sharp Suspended for Borrowing from Customer
Prohibited borrowing from customer
2025-04-03 /CRD 7214627 /NC
Multiple Individuals Suspended for Failing to Provide Information
Suspended for failure to provide information to FINRA
2025-04-03 /CRD 2186080 /MT
Multiple Individuals Suspended for Failure to Comply with Arbitration Awards
Suspended for failure to comply with arbitration award or settlement
2025-04-02 /CRD 14178 /NY
Revere Securities LLC Fined $125,000 for Mismarking Trade Tickets
Mismarking solicited trades as unsolicited
2025-04-02 /CRD 2329016 /CT
Christopher Harpin Suspended and Fined for Mismarking Trades
Mismarking solicited trades as unsolicited