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2,290 records on file, newest first
2025-02-18 /CRD 5551156 /MO
Jerome Oliver Harris Suspended for Failure to Provide Information
Suspended for failure to provide information pursuant to FINRA Rule 9552(d)
2025-02-18 /CRD 7509093 /TX
Thomas Christopher Johnson Suspended for Failure to Provide Information
Suspended for failure to provide information pursuant to FINRA Rule 9552(d)
2025-02-14 /CRD 109761 /NY
Cova Capital Partners Fined $30,000 for Reg BI Violations in Private Placement Sales
Violated Reg BI by recommending private placements without adequate due diligence
2025-02-13 /CRD 149224 /NY
GTS Securities Fined $150,000 for Inaccurate Rule 605 Execution Quality Reports
Published inaccurate Rule 605 execution quality reports
2025-02-13 /CRD 6215747 /MA
Cesar Manuel Casado Barred for Refusing to Cooperate with Insurance Application Investigation
Refused to provide documents regarding allegations of inaccurate insurance applications
2025-02-12 /CRD 39616 /TX
Stonecrest Capital Markets Fined $45,000 for TRACE Reporting Failures
Failed to report and inaccurately reported TRACE transactions
2025-02-12 /CRD 6410265 /TN
Jordan Paul McLendon Barred for Refusing to Provide Documents
Refused to provide documents regarding discharge for falsified documentation and lack of candor
2025-02-12 /CRD 322261 /WA
Airlink Markets Expelled for Failure to Provide Information
Expelled for failure to provide information pursuant to FINRA Rule 9552
2025-02-11 /CRD 6833882 /VA
Ryan D. Clayton Barred for Failure to Provide Information
Barred for failure to provide information pursuant to FINRA Rule 9552(h)
2025-02-11 /CRD 6979333 /TX
Christopher Paul Hale Barred for Failure to Provide Information
Barred for failure to provide information pursuant to FINRA Rule 9552(h)
2025-02-10 /CRD 40305 /FL
Sentinel Brokers Fined $25,000 for Inaccurate Books and Records
Inaccurate books and records and net capital violations
2025-02-10 /CRD 6554123 /CA
Ryan K. Taleghani Barred for Failure to Provide Information
Barred for failure to provide information pursuant to FINRA Rule 9552(h)