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Broker records
2,290 records on file, newest first
2025-03-17 /CRD 5491743 /VA
Jarrett Carter Thomas Suspended 45 Days for Unauthorized Transaction Involving Incapacitated Senior
Unauthorized $50000 transfer for incapacitated senior customer
2025-03-14 /CRD 5257475 /NJ
Martin Barwikowski Barred for Refusing to Produce Documents in Sales Practice Investigation
Refused to produce documents in sales practice violation investigation
2025-03-12 /CRD 129356 /CA
FTP Securities LLC Fined $35,000 for Inadequate Outside Business Activity Supervision
Inadequate supervision of outside business activities
2025-03-11 /CRD 205 /IN
Sanctuary Securities Fined $150,000 for AML Program Deficiencies
AML program deficiencies and inadequate customer identification procedures
2025-03-10 /CRD 6116538 /NJ
Jordan Paul Meadow Barred for Refusing Testimony in Excessive Trading Investigation
Refused testimony in investigation of potential excessive trading
2025-03-06 /CRD 287912 /TX
Redbridge Securities LLC Fined $475,000 for AML and Market Manipulation Supervisory Failures
AML compliance failures and inadequate market manipulation supervision
2025-03-06 /CRD 8158 /WI
Robert W. Baird & Co. Ordered to Pay $657,830 for Reg BI Violations
Reg BI violations - recommended unnecessary fee-based accounts
2025-03-06 /CRD 4469446 /MO
James Allen Bowman Barred for Refusing Testimony in FINRA Investigation
Refused testimony regarding personal reimbursement of customer losses
2025-03-06 /CRD 4913481 /NJ
Richard Joseph Perlongo Suspended Three Months for Excessive Trading
Excessive and unsuitable trading resulting in customer losses
2025-03-06 /CRD 7575351 /MO
Calvin Lee Gray Charged with Failing to Cooperate with Investigation into Bank Fraud Allegations
Alleged failure to cooperate with investigation into bank fraud and identity theft
2025-03-04 /CRD 13577 /NJ
Network 1 Financial Securities and Michael Molinaro Fined $400,000 for AML Compliance Failures
AML compliance program failures and off-channel communications violations
2025-03-04 /CRD 103787 /NY
Tradeweb Direct LLC Fined $65,000 for Municipal Securities Reporting Violations
Failed to include NTBC indicator on municipal securities transaction reports