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2,290 records on file, newest first
2025-01-07 /CRD 47548 /WA
Vorpahl Wing Securities Fined $25,000 for Net Capital and Reporting Violations
Operated with net capital deficiencies and failed to file required notices
2025-01-06 /CRD 10645 /FL
International Assets Advisory Fined for TRACE and RTRS Reporting Violations
Failed to report transactions to TRACE and RTRS as required
2025-01-06 /CRD 2524415 /MN
John Alfred Dow Jr. Barred for Refusing to Produce Documents in Estate Investigation
Refused to produce documents requested by FINRA in investigation
2025-01-06 /CRD 2715728 /AZ
Charles William Wodrich Barred for Failing to Cooperate with Senior Investor Investigation
Failed to provide information and testimony in senior investor investigation
2025-01-02 /CRD 283942 /NY
BofA Securities Fined $250,000 for TRACE Reporting Failures
Failed to timely and accurately report transactions to TRACE
2024-12-31 /CRD 19714 /NY
Barclays Capital Fined $1,000,000 for Net Capital Computation Failures
Net capital computation failures; inaccurate FOCUS reports
2024-12-31 /CRD 7059 /NY
Citigroup Global Markets Fined $100,000 for Municipal Securities Registration Violations
Municipal securities representative registration violations
2024-12-30 /CRD 36418 /CT
Interactive Brokers Fined $2,250,000 for Free-Riding Detection Failures
Free-riding detection failures in options; supervisory deficiencies
2024-12-30 /CRD 8174 /NJ
UBS Financial Services Fined $1,100,000 for Trade Confirmation Disclosure Failures
Trade confirmation disclosure failures; supervisory deficiencies
2024-12-30 /CRD 1108987 /NJ
Vincent William LaBarbara Suspended for Undisclosed Customer Lending Arrangement
Undisclosed lending arrangement with customer
2024-12-27 /CRD 2347 /NY
Jefferies LLC Fined $250,000 for Regulation M Supervisory Failures
Regulation M supervisory failures
2024-12-26 /CRD 7356874 /NY
Justin Daniel Muccigrosso Suspended for Misusing Firm Funds Through False Expense Claims
Misuse of firm funds through false expense claims