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2,290 records on file, newest first
2026-03-24 /CRD 4443647 /PA
Timothy James Gardner Suspended for Failure to Comply with FINRA Arbitration Award
Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement
2026-03-23 /CRD 6954929 /CA
Fernando Mendez Suspended from Securities Industry for Failure to Comply with FINRA Information Requirements
Suspended pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current as required by FINRA
2026-03-20 /CRD 287728 /NY
Stash Capital Fined $450,000 for Customer Identification and AML Compliance Failures
Failure to establish adequate Customer Identification Program; AML compliance failures; failure to develop compliant Identity Theft Prevention Program under Regulation S-ID
2026-03-20 /CRD 1332626 /NY
Anthony Sica Barred for Refusing to Appear for FINRA On-the-Record Testimony
Refusal to appear for on-the-record FINRA testimony in targeted examination of small-capitalized issuer offering practices
2026-03-19 /CRD 6232970 /CA
Avinesh K. Shankar Barred for Forging Customer Signatures to Collect Over $511,000 in Unauthorized Commissions
Conversion of firm funds by forging customer signatures on annuity applications to receive $511,609.74 in unauthorized advanced commission payments
2026-03-18 /CRD 1293322 /GA
Roger Allan Roemmich Barred for Refusing to Produce Documents in FINRA Investigation
Refusal to produce information and documents to FINRA in investigation related to customer arbitration alleging unsuitable investment recommendations
2026-03-18 /CRD 7720831 /NJ
Joshua Ethan Scholnick Barred for Cheating on Securities Industry Essentials Examination
Cheating on the Securities Industry Essentials (SIE) examination by using prohibited study materials during the test
2026-03-17 /CRD 288202 /NY
Alpaca Securities Fined $300,000 for Untimely Trade Reporting and Inaccurate Trade Data
Failure to timely report approximately 1.87 million transactions; submission of over 2 million inaccurate trade reports; inadequate trade reporting supervisory system
2026-03-17 /CRD 146251 /Spartan Capital Securities LLC
FINRA Charges Spartan Capital Securities and Principals with Defrauding Customers in IPO Share Scheme
Alleged scheme to defraud customers regarding ability to resell restricted IPO shares; alleged material omissions; alleged unreasonable and undisclosed underwriting compensation; alleged failure to supervise
2026-03-16 /CRD 47895 /NY
Ultima Global Markets Fined $100,000 for AML Program Failures in Low-Priced Securities Correspondent Accounts
Failure to implement adequate AML program for low-priced securities transactions; failure to establish due diligence program for foreign financial institution correspondent accounts
2026-03-16 /CRD 32396 /FL
VectorGlobal WMG Fined $200,000 for Failing to Supervise Regulation S Securities Transactions
Failure to supervise compliance with Section 5 of the Securities Act; offering and selling Regulation S securities without adequate supervisory procedures or monitoring tools
2026-03-16 /CRD 6703074 /CA
Justin Kim Barred from Securities Industry for Refusing to Provide Information to FINRA
Refusal to provide documents and information to FINRA in connection with review of Form U5 disclosure regarding failure to report arrest