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Broker records
2,290 records on file, newest first
2024-12-24 /CRD 156515 /CA
Builder Advisor Group Fined $30,000 for AML and Beneficial Owner Verification Failures
AML deficiencies; beneficial owner verification failures
2024-12-24 /CRD 2679694 /ID
Adam Harris Ezrilov Barred for Refusing to Provide Testimony to FINRA
Refusal to provide testimony regarding alleged document falsification
2024-12-24 /CRD 1164613 /NY
Ronald Cellini Suspended for Having Others Complete Insurance Continuing Education
False certification of insurance continuing education completion
2024-12-23 /CRD 79 /NY
J.P. Morgan Securities Fined $3,000,000 for Short Interest Reporting Failures
Short interest reporting failures; supervisory deficiencies
2024-12-23 /CRD 149823 /NY
Virtu Americas Fined $750,000 for Overstating Advertised Trade Volume
Overstating advertised trade volume; supervisory failures
2024-12-23 /CRD 6042470 /NC
Steven Michael Blanchard Suspended Two Years for Falsifying Documents and Lying to FINRA
Falsifying documents; providing false information to firm and FINRA
2024-12-23 /CRD 4871764 /TX
Emilio Guajardo Jr. Suspended for Unsuitable UIT Concentration Recommendations
Unsuitable UIT concentration recommendations
2024-12-20 /CRD 6413 /SC
LPL Financial Fined $900,000 for Blue Sheet Reporting Errors
Blue sheet reporting errors affecting 205000 transactions
2024-12-20 /CRD 19616 /MO
Wells Fargo Clearing Services Fined $900,000 for Blue Sheet Reporting Failures
Blue sheet reporting errors affecting 5.5 million transactions
2024-12-20 /CRD 7602554 /NY
Daniel Hoeflinger Barred for Failing to Provide Information to FINRA
Failure to provide information and documents to FINRA
2024-12-20 /CRD 5881623 /IL
Howard Dennis Kavinsky Barred for Falsifying Customer Account Statements and Lying to FINRA
Falsifying customer account statements; false testimony to FINRA
2024-12-19 /CRD 1185909 /NY
Robert Alan Yedid Suspended for Sharing Compensation with Unregistered Person
Sharing transaction-based compensation with unregistered person