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Broker records
2,290 records on file, newest first
2025-02-21 /CRD 4184330 /FL
Eric Jason Abrahams Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-21 /CRD 2509012 /FL
Andrew Garrett Mandala Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-20 /CRD 7691 /NY
Merrill Lynch Fined $275,000 for Accepting Market Orders Before Secondary Trading Commenced
Accepted market orders for new issues before secondary market trading commenced
2025-02-20 /CRD 5718194 /CA
Justin Casey Funakura Suspended Six Months for Selling Fraudulent Crypto Investments
Participated in private securities transactions involving fraudulent crypto investment scheme
2025-02-20 /CRD 1837307 /PA
Stephen E. Trask Suspended 30 Days for Unauthorized Discretionary Trading
Exercised discretionary authority without written authorization
2025-02-19 /CRD 5513745 /FL
Roger Albert Taft Gallagher Barred for Refusing to Cooperate with Criminal Investigation
Refused to provide documents and testimony regarding criminal indictment allegations
2025-02-19 /CRD 2310647 /TX
Todd Loring Luft Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-18 /CRD 6264698 /MA
Ana Maria Dimco Charged with Misusing Firm Funds for Personal Expenses
Charged with misusing corporate card for personal expenses totaling over $20000
2025-02-18 /CRD 6530759 /TX
Desmond Lawrence James-Jones Barred for Failure to Provide Information
Barred for failure to provide information pursuant to FINRA Rule 9552(h)
2025-02-18 /CRD 2338966 /CA
Gustavo Santos Miramontes Barred for Failure to Provide Information
Barred for failure to provide information pursuant to FINRA Rule 9552(h)
2025-02-18 /CRD 7297416 /NY
Vanessa Arlene Webber Barred for Failure to Provide Information
Barred for failure to provide information pursuant to FINRA Rule 9552(h)
2025-02-18 /CRD 7505213 /CA
Jeu Emmanuel Delgado Lopez Suspended for Failure to Provide Information
Suspended for failure to provide information pursuant to FINRA Rule 9552(d)