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Broker records
2,290 records on file, newest first
2025-04-01 /CRD 2824966 /NY
Michael Dugan Suspended Seven Months for Excessive Trading in Customer Accounts
Excessive trading and Reg BI violations
2025-03-31 /CRD 8478 /IN
Thurston Springer Financial Fined $150,000 for Multiple Supervisory Failures
Multiple supervisory failures including Reg BI and Form CRS deficiencies
2025-03-31 /CRD 5181580 /MA
Dennis Matthew Lovett Jr. Barred for Refusing to Cooperate with Investigation
Refused to cooperate with investigation into corporate credit card violations
2025-03-27 /CRD 103789 /TX
USCA Securities Fined $75,000 for Net Capital and Recordkeeping Violations
Net capital deficiencies and inaccurate FOCUS reports
2025-03-27 /CRD 7680869 /WA
Christopher James Christensen Barred for Failing to Cooperate with Examination
Failed to cooperate with examination into OBAs and private securities transactions
2025-03-27 /CRD 1108375 /FL
Mark Frederic Seruya Barred for Refusing to Cooperate with Investigation
Refused to cooperate with investigation into outside investments and off-channel communications
2025-03-27 /CRD 6450544 /IN
Jason Michael Poschinger Suspended Six Months for Misappropriating Customer Information
Misappropriated confidential customer information and made false statements
2025-03-27 /CRD 7044974 /VA
Nana Kwame Kwakye-Bissah Charged with Failing to Cooperate with Investigation
Alleged failure to cooperate with investigation into document falsification and fund conversion
2025-03-26 /CRD 4531762 /CT
Anthony Neil Wenham Suspended Three Months for Falsifying Firm Records
Falsified firm records by recording inaccurate marks to conceal millions in losses
2025-03-25 /CRD 6848651 /NY
John Michael Palma Barred for Refusing to Produce Documents to FINRA
Refused to produce documents requested during FINRA cycle examination
2025-03-25 /CRD 811073 /IL
Linda Lucille Sokol Francis Barred for Refusing to Cooperate with Investigation
Refused to cooperate with investigation into unauthorized discretionary trading
2025-03-24 /CRD 155456 /United First Partners LLC
United First Partners and Elizabeth Dickerson Fined $220,000 for Supervisory Failures
Supervisory failures for outside brokerage accounts and research information barriers