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Broker records
2,290 records on file, newest first
2025-02-08 /CRD 5938015 /CT
Multiple Individuals Suspended for Failing to Comply with Arbitration Awards
Suspended for failure to comply with arbitration awards
2025-02-07 /CRD 4818324 /GA
Ruben Trujillo Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-06 /CRD 22395 /CA
Banyan Securities Fined $15,000 for Anti-Money Laundering Failures
Failed to conduct independent AML testing for approximately seven years
2025-02-06 /CRD 169708 /NJ
Curvature Securities Fined $50,000 for Customer Reserve Calculation Errors
Failed to accurately calculate customer reserve resulting in 27 hindsight deficiencies
2025-02-06 /CRD 5225102 /NY
Justin Ray Deiter Suspended Six Months for Excessive Trading in Customer Accounts
Excessive trading in customer accounts including 89-year-old retiree
2025-02-05 /CRD 2186080 /MT
James Burchett Cross Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-05 /CRD 4321414 /CA
Daniella R. Rand Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-04 /CRD 6117388 /FL
Gary Steven Costello Barred for Refusing to Testify in Trade Rebilling Investigation
Refused to provide testimony regarding allegations of rebilling personal trades to customer accounts
2025-02-04 /CRD 7652737 /CA
Dora Alicia Soto Barred for Refusing to Testify in Expense Report Investigation
Refused to provide testimony regarding allegations of improper expense report submissions
2025-02-03 /CRD 1806486 /NY
Michael Fasciglione Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-03 /CRD 2932631 /NY
James J. Mariani Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award
2025-02-03 /CRD 2976011 /FL
Amy Leanne Marx Suspended for Failure to Comply with Arbitration Award
Suspended for failure to comply with arbitration award