The database
Broker records
2,290 records on file, newest first
2024-12-18 /CRD 29249 /FL
Insigneo Securities Fined $85,000 for Private Securities Transaction and TRACE Violations
Private securities transaction supervision failures; TRACE reporting violations
2024-12-18 /CRD 116270 /NY
Seaport Global Securities Fined $125,000 for Options Trading Supervision Failures
Options trading supervision failures; inaccurate order memoranda
2024-12-18 /CRD 8174 /NJ
UBS Financial Services Fined $500,000 for Syndicate Preferred Stock Supervision Failures
Unsuitable short-term syndicate preferred stock recommendations; supervisory failures
2024-12-17 /CRD 133760 /UT
Cambria Capital Ordered to Pay Restitution for Excessive Commissions and Trading Violations
Excessive commissions; excessive trading; supervisory failures
2024-12-17 /CRD 4579060 /AL
James Clayton Langford III Barred for Refusing Testimony Amid Fund Conversion Allegations
Refusal to provide testimony regarding alleged fund conversion from senior customer
2024-12-17 /CRD 1529464 /NJ
Donald R. Ayers Jr. Suspended for Failing to Disclose Liens and Judgments
Failure to disclose liens and judgments; false compliance attestations
2024-12-17 /CRD 4284800 /NY
James Joseph Lukezic Charged with Unauthorized Mutual Fund Trades and False Statements
Alleged unauthorized mutual fund trades; false statements to FINRA
2024-12-13 /CRD 2225091 /TX
Jonathan Earl Best Charged with Unauthorized Trading in Senior Customer Account
Alleged unauthorized trading in senior customer account
2024-12-12 /CRD 5966835 /WA
Mary Christine Beslagic Suspended for Unsuitable Mutual Fund Recommendations
Unsuitable mutual fund recommendations violating Reg BI
2024-12-11 /CRD 19596 /MO
Arlington Securities and Robert Earl Hillard Fined for Unsuitable Variable Annuity Recommendations
Unsuitable variable annuity recommendations; supervisory failures
2024-12-11 /CRD 7581212 /FL
Saraie Dorgilles Barred for Refusing to Provide Testimony to FINRA
Refusal to provide testimony regarding SIE exam conduct
2024-12-11 /CRD 1883661 /NJ
Jack David Faller Suspended for Creating False Branch Inspection Reports
Creating false branch inspection reports; inaccurate books and records