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Broker records
2,290 records on file, newest first
2025-03-24 /CRD 4347572 /NC
Derek Lee Copeland Barred for Undisclosed Private Securities Transactions and Off-Channel Communications
74 undisclosed private securities transactions totaling $11 million
2025-03-21 /CRD 10674 /PA
NewEdge Securities Fined $275,000 and Ordered to Disgorge $750,746 for Municipal Bond Violations
Fraudulent municipal bond allocation scheme and MSRB violations
2025-03-21 /CRD 1030462 /NY
Martin Allan Barth Suspended 16 Months for Securities Fraud and Pandemic Unemployment Fraud
Securities fraud through undisclosed compensation and pandemic unemployment fraud
2025-03-21 /CRD 7329637 /CA
Gaelin Michaela Monkman-Kotz Suspended One Month for Off-Channel Communications
Off-channel communications causing incomplete firm books and records
2025-03-20 /CRD 154717 /NY
Tigress Financial Partners Fined $100,000 for AML Program Deficiencies
AML program deficiencies and customer confirmation disclosure failures
2025-03-20 /CRD 6171982 /MT
Cassandra N. Heitz Barred for Failure to Provide Information
Failure to provide information or keep information current
2025-03-19 /CRD 13041 /MA
National Financial Services Fined $100,000 for UIT Transfer Delays
Failed to timely transfer over 5600 UITs via ACATS
2025-03-19 /CRD 7380221 /MS
Nathan D. Caldwell Barred for Refusing to Cooperate with Investigation into Unauthorized Transfers
Refused to cooperate with investigation into unauthorized customer fund transfers
2025-03-19 /CRD 6341199 /IL
Joseph Michael Cannon Barred for Refusing Testimony Regarding Questionable Transactions
Refused testimony regarding questionable transactions in personal and client accounts
2025-03-19 /CRD 6669454 /PA
Cody Michael Keller Barred for Refusing to Provide Information to FINRA
Refused to provide information regarding personal customer payments and undisclosed OBA
2025-03-18 /CRD 35993 /TX
Mariner Financial Group Fined and Ordered to Pay Restitution for Reg BI Violations
Reg BI violations and unsuitable NT-ETP recommendation to senior customer
2025-03-17 /CRD 7927 /IL
Northern Trust Securities Fined $150,000 for TRACE Reporting Failures
Failed to report commissions to TRACE for debt securities transactions