Broker records

Falsified Series 7 exam results and submitted forged documents

2024-11-26 /CRD 6058136 /NJ

Rachel Chapman Barred for Refusing to Testify in FINRA Investigation

Refused to appear for FINRA on-the-record testimony

2024-11-26 /CRD 4735031 /NY

Richard Linden Suspended for Insurance Continuing Education Fraud

False certification of continuing education completion

2024-11-22 /CRD 5670 /OR

Paulson Investment Company Fined for Inadequate Outside Business Activity Supervision

Failed to supervise representative's outside business activities

2024-11-21 /CRD 1156214 /WI

Peter Glowacki Suspended for Unauthorized Discretionary Trading and Off-Channel Communications

Unauthorized discretionary trading and off-channel communications

2024-11-20 /CRD 133642 /Torch Securities, LLC

Torch Securities and Thomas O’Driscoll Fined for AML Failures and Backdated Documents

Failure to conduct AML testing and submitting backdated documents to FINRA

2024-11-20 /CRD 13041 /MA

National Financial Services Fined for Trade Reporting and Disclosure Violations

Misreporting in Rule 605 and 606 reports

2024-11-20 /CRD 6055474 /NY

Troy Orlando Barred for Refusing to Testify in FINRA Investigation

Refused to appear for FINRA on-the-record testimony

2024-11-19 /CRD 10409 /MA

MML Investors Services Fined $700,000 for Consolidated Report Supervision Failures

$700,000 Read the record →

Failed to supervise consolidated reports allowing fictitious account entries

2024-11-19 /CRD 6092943 /NJ

Ahmad Maklouf Barred for Refusing to Provide Documents to FINRA

Refused to provide documents requested by FINRA

2024-11-19 /CRD 6181372

Pedro Ostia-Vega Suspended for Falsifying Customer Signatures

Reused customer signatures on over 100 documents

2024-11-19 /CRD 3093473 /MN

Brenton Schmidt Suspended for Allowing Signature Falsification

Permitted business partner to falsify customer signatures