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Broker records
2,290 records on file, newest first
2025-01-22 /CRD 1172406 /SD
Alfred Sietze Vanderlaan Suspended for Unsuitable Bond Recommendations to Seniors
Recommended speculative unrated bonds unsuitable for customers' moderate risk tolerance
2025-01-21 /CRD 8174 /NJ
UBS Financial Services Fined $1.1 Million for Inaccurate Blue Sheet Submissions
Submitted inaccurate and incomplete blue sheets to FINRA
2025-01-21 /CRD 6066139 /IL
Jonathan Manuel Aguilera Barred for Refusing to Cooperate with Investigation
Refused to provide information in investigation into non-compliant social media posts
2025-01-21 /CRD 7262522 /TX
Teslim Osahon Belo-Osagie Barred for Refusing to Cooperate with Outside Business Investigation
Refused to produce information about outside business activity
2025-01-17 /CRD 5125590 /OR
Gwendolyn Janice Hayes Barred for Refusing to Cooperate with FINRA Examination
Refused to produce information in examination regarding unauthorized activities
2025-01-17 /CRD 4424304 /NY
Fabio Peter La Rosa Suspended for Unauthorized Transfers from Trust Accounts
Made unauthorized trust account transfers based on instructions from unauthorized person
2025-01-17 /CRD 2554168 /MN
Justin William Pagel Suspended 10 Months for Unsuitable Recommendations and Unauthorized Trading
Made unsuitable recommendations to customers seeking conservative investments
2025-01-16 /CRD 10012 /NY
Wall Street Access Fined $125,000 for Regulation NMS Trade-Through Violations
Failed to ensure intermarket sweep orders met Regulation NMS requirements
2025-01-16 /CRD 6903399 /OR
Christopher Michael Chiampas Suspended for Failing to Disclose Customer Complaint
Failed to disclose customer complaint and settled it without firm knowledge
2025-01-15 /CRD 4920135 /AL
Jason Brooks Head Barred for Converting Over $498,000 from Customers
Converted over $498,000 from customers for personal use
2025-01-15 /CRD 4114088 /FL
Matthew Ian Turner Suspended for Excessive Trading Harming Seniors
Excessive trading causing $160,822 in losses while generating $34,269 in commissions
2025-01-14 /CRD 7199712 /MD
Simon T. Hagos Suspended for Undisclosed Outside Securities Account
Failed to disclose outside securities account and made false attestations