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2,290 records on file, newest first
2026-04-01 /CRD 39543 /IA
Cambridge Investment Research Fined $150,000 for Variable Annuity Exchange Oversight Failures
Failed to establish supervisory system for deferred variable annuity exchange rates, allowing 22 inappropriate exchanges that caused 14 customers to incur $129,938.79 in unnecessary surrender fees
2026-03-31 /CRD 28116 /MD
Chapin Davis Fined $45,000 for Net Capital Deficiencies Inaccurate FOCUS Reports and Reg BI Supervision Failures
Net capital deficiencies; inaccurate FOCUS reports; books and records failures; failure to supervise for Reg BI compliance in structured product and mutual fund recommendations
2026-03-30 /CRD 2107758 /NC
William Steven Cooke Barred for Refusing to Cooperate with FINRA Investigation into Unauthorized Trades
Refusal to appear for on-the-record FINRA testimony in investigation related to Form U5 disclosure of unauthorized trades and document forgery in customer account
2026-03-30 /CRD 7464115 /TX
Ryan Mitchell Pigg Suspended from Securities Industry for Failure to Provide Required FINRA Information
Suspended pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current as required by FINRA
2026-03-27 /CRD 5825492 /TX
Joshua Aaron Dean Barred from Securities Industry for Failure to Provide Required Information to FINRA
Barred pursuant to FINRA Rule 9552(h) for failure to provide required information to FINRA
2026-03-27 /CRD 2933260 /CA
Michael Barrows Suspended from Securities Industry for Failure to Pay FINRA Dues and Fees
Suspended pursuant to FINRA Rule 9553 for failure to pay FINRA dues, fees, and other charges
2026-03-26 /CRD 304126 /NJ
Fundit Inc. Expelled from FINRA for Failure to Provide Required Regulatory Information
Expulsion from FINRA membership for failure to provide required information and keep registration information current pursuant to FINRA Rule 9552
2026-03-26 /CRD 2465580
Hanspeter Schiegg Suspended from Securities Industry for Failure to Provide Information to FINRA
Suspended pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current as required by FINRA
2026-03-25 /CRD 122225 /CA
BTIG Fined $600,000 for Failing to Preserve Off-Channel Business Communications
Failure to supervise employees' use of unapproved communications platforms; failure to preserve business-related off-channel communications
2026-03-25 /CRD 2463703 /NY
Vincent Jerome Camarda Suspended for Failure to Comply with FINRA Arbitration Award
Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement
2026-03-25 /CRD 2797856 /NY
James Edward McArthur Suspended for Failure to Comply with FINRA Arbitration Award
Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement
2026-03-24 /CRD 15007 /NY
Aegis Capital Fined $400,000 for Regulation M Notification Failures and Inaccurate Corrective Disclosures
Untimely and incomplete Regulation M notifications under FINRA Rule 5190; inaccurate representations in Corrective Action Statement submitted to FINRA