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Broker records
2,290 records on file, newest first
2025-02-27 /CRD 6541594 /NY
Michael Louis Miro Suspended Three Months for Undisclosed Outside Business Activity
Engaged in undisclosed full-time outside consulting activity while registered
2025-02-26 /CRD 150443 /NY
Young America Capital Fined $50,000 for AML Program Deficiencies
Failed to implement AML program tailored to business activities
2025-02-25 /CRD 44542 /NY
MarketAxess Fined $180,000 for Inaccurate and Untimely Trade Reports
Inaccurate and untimely TRACE and RTRS trade reporting
2025-02-25 /CRD 7192377 /NY
Szczepan Kosmaczewski Barred for Refusing to Testify in Securities Recommendations Investigation
Refused to provide testimony in investigation of securities recommendations
2025-02-24 /CRD 5481188 /KS
Mark Robert Brosa Barred for Failure to Provide Information
Barred for failure to provide information pursuant to FINRA Rule 9552(h)
2025-02-24 /CRD 5567091 /NY
Anthony Richard Bottini III Suspended for Failure to Provide Information
Suspended for failure to provide information pursuant to FINRA Rule 9552(d)
2025-02-24 /CRD 5158100 /TX
Amanda E. Kriss Suspended for Failure to Provide Information
Suspended for failure to provide information pursuant to FINRA Rule 9552(d)
2025-02-24 /CRD 7581770 /FL
Michael Oakley Thomas Suspended for Failure to Provide Information
Suspended for failure to provide information pursuant to FINRA Rule 9552(d)
2025-02-24 /CRD 4811478 /CA
Jeremy W. Fortner Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-21 /CRD 1195301 /PA
Mary Beth Fisher Spuhler Barred for Refusing to Cooperate with Client Transaction Investigation
Refused to provide documents regarding allegations of unapproved personal transactions with clients
2025-02-21 /CRD 7001258 /WA
Kayla Holeman Suspended 45 Days for Forging Customer Signatures
Forged four customers' electronic signatures on documents
2025-02-21 /CRD 6128916 /NY
Ishmael Williams Charged with Falsely Certifying Continuing Education Completion
Charged with falsely certifying completion of continuing education requirements