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Broker records
2,290 records on file, newest first
2024-12-11 /CRD 5479643 /FL
Sean P. McCabe Suspended for Excessive Trading in Customer Account
Excessive trading; unsuitable recommendations
2024-12-09 /CRD 2294956 /FL
Michael John Brewster Suspended for Having Others Complete Compliance Training
Having others complete compliance training
2024-12-09 /CRD 6025348 /GA
Bryan Scott Corona Suspended for Failing to Disclose Felony Charges
Failure to disclose felony charges on Form U4
2024-12-09 /CRD 5967107 /FL
Paul Edwards Suspended for Forging Customer Signatures and Falsifying Documents
Forging customer signatures; falsifying firm documents
2024-12-09 /CRD 1269522 /WI
Sharon Green Suspended for Undisclosed Consulting Services to Senior Customers
Undisclosed outside business activity providing consulting to senior customers
2024-12-06 /CRD 128351 /NY
SG Americas Securities Fined $950,000 for Fingerprinting Violations
Fingerprinting and screening violations for associated persons
2024-12-06 /CRD 6345942 /NH
Christopher Mullaly Suspended for Undisclosed Outside Brokerage Accounts
Undisclosed outside brokerage accounts; false compliance certifications
2024-12-04 /CRD 168404 /NY
LifeSci Capital Fined $900,000 for SPAC Underwriting Violations
Unreasonable SPAC underwriting compensation; inaccurate disclosures; filing failures
2024-12-04 /CRD 110301 /AZ
Union Capital Company Ordered to Pay Restitution for Non-Traditional Fund Supervisory Failures
Supervisory failures for Non-Traditional Fund recommendations
2024-12-04 /CRD 2600346 /AZ
Chris S. Stocks Suspended for Undisclosed Hotel Investment Business
Undisclosed outside business activity; false compliance attestations
2024-12-03 /CRD 17530 /OK
BOK Financial Securities Fined $110,000 for TRACE Reporting Failures
TRACE reporting failures; supervisory deficiencies
2024-12-03 /CRD 4209849 /NJ
Matthew Thomas Higgins Suspended for Private Securities Transactions
Private securities transactions without firm notice