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Broker records
2,290 records on file, newest first
2024-12-02 /CRD 16518 /MO
Patrick Capital Markets Fined $80,000 for Securities Law Violations in Contingency Offerings
Securities law violations in contingency offerings; failing to return investor funds
2024-12-02 /CRD 1423097 /NY
Roger Peter Daly Barred for Refusing to Provide Testimony to FINRA
Refusal to provide testimony to FINRA
2024-12-02 /CRD 1590508 /NJ
Stephen Philip King Barred for Refusing to Provide Testimony to FINRA
Refusal to provide testimony to FINRA regarding penny stock supervision
2024-12-02 /CRD 6402676 /NC
Michael Timothy Shoniker Suspended for Undisclosed Outside Business Activities
Undisclosed outside business activities; false compliance attestations
2024-12-01
Edward Jones Ordered to Pay $4.4 Million in Mutual Fund Fee Restitution
Failure to provide mutual fund sales charge waivers and fee rebates
2024-12-01
Osaic Wealth Ordered to Pay $3.1 Million in Mutual Fund Fee Restitution
Failure to provide mutual fund sales charge waivers and fee rebates
2024-12-01
Cambridge Investment Research Ordered to Pay $699,217 in Mutual Fund Fee Restitution
Failure to provide mutual fund sales charge waivers and fee rebates
2024-11-27 /CRD 7717 /CA
Independent Financial Group Fined for 529 Plan Rollover Sales Charge Failures
Failed to apply available sales charge waivers on 529 plan rollovers
2024-11-27 /CRD 7329753 /PA
Ceondre Colvin Barred for Refusing to Cooperate with FINRA Investigation
Refused to provide documents and testimony regarding customer complaint
2024-11-27 /CRD 6045888 /NY
Christopher Gallo Suspended for Excessive Trading Causing Customer Losses
Excessive trading causing customer losses in violation of Reg BI
2024-11-26 /CRD 283078 /NJ
Moomoo Financial Fined $750,000 for Misleading Influencer Marketing
Misleading influencer marketing and failure to provide privacy notices
2024-11-26 /CRD 6907048 /GA
Christopher Bailey Barred for Failing to Provide Documents to FINRA
Failed to provide documents requested by FINRA