The database
Broker records
2,290 records on file, newest first
2025-03-04 /CRD 7200876 /CA
Glenn Ngo Barred for Refusing to Provide Information to FINRA
Refused to provide information regarding potential private securities transactions
2025-03-03 /CRD 5129935 /WA
David Lee Jerke Barred for Refusing to Cooperate with FINRA Investigation
Refused to cooperate with FINRA investigation into customer loan solicitation
2025-03-03 /CRD 2225091 /TX
Jonathan Earl Best Suspended Three Months for Unauthorized Trading in Senior Customer Account
Unauthorized trading in senior customer account with diminished capacity
2025-03-03 /CRD 7315092 /FL
Christopher Denis Suspended 18 Months for Assisting with Examination Cheating
Assisted business partner in cheating on SIE examinations
2025-03-03 /CRD 1432593 /FL
William Worthen King Suspended 30 Days for Unauthorized Discretionary Trading
Unauthorized discretionary trading in senior customer accounts
2025-03-03 /CRD 2807988 /CT
James Anthony Iannazzo Fined $50,000 and Suspended Two Years for Structuring Cash Transactions
Structured $845890 in cash transactions to evade reporting requirements
2025-03-01
Robinhood Financial and Robinhood Securities Fined $26 Million for Multiple Violations
AML failures and supervisory deficiencies and disclosure violations
2025-02-28 /CRD 305935 /CO
Tifin Private Markets Fined $30,000 for Net Capital Deficiencies
Conducted securities business without maintaining required minimum net capital
2025-02-28 /CRD 3231494 /NY
Keith Craig Baron Barred and Ordered to Pay $284,890 for Defrauding Elderly Couple
Made misrepresentations to elderly couple and failed to disclose compensation from recommended company
2025-02-28 /CRD 7670323 /CO
Tyler Morgan Krol Barred for Refusing to Cooperate with Credit Card Fraud Investigation
Refused to provide documents regarding allegations of opening unauthorized credit cards for customers
2025-02-28 /CRD 4001310 /NC
Brett Allen Rutherford Barred for Refusing to Cooperate with Arbitration Investigation
Failed to provide documents regarding circumstances giving rise to customer arbitration
2025-02-27 /CRD 7739278 /NY
William Slattery Barred for Cheating on Series 66 Exam Using Cell Phone and ChatGPT
Cheated on Series 66 exam by using hidden cell phone and ChatGPT during restroom break