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Broker records
2,290 records on file, newest first
2024-11-18 /CRD 143570 /Drexel Hamilton, LLC
Drexel Hamilton and Representatives Sanctioned for Municipal Bond Retail Order Fraud
Fraudulent retail order designations for municipal bonds and supervisory failures
2024-11-18 /CRD 13941 /IA
CUNA Brokerage Services Fined for Deleting Customer Records
Failure to preserve required Reg BI customer records
2024-11-18 /CRD 6800169 /MO
Akinfolarin Sessi Barred for Refusing to Testify in FINRA Investigation
Refused to appear for FINRA on-the-record testimony
2024-11-15 /CRD 139049 /FL
ACP Securities Fined for Failing to Disclose Associated Person’s Disciplinary History
Failed to disclose associated person's disciplinary history on Form CRS
2024-11-15 /CRD 4734949 /NY
John Franzino Suspended for Insurance Continuing Education Fraud
False certification of continuing education completion
2024-11-15 /CRD 5765233 /FL
Vandalia Pizarro Suspended for Failing to Disclose Criminal Charge
Failed to timely disclose criminal charge and plea on Form U4
2024-11-15 /CRD 1401802 /CA
Linda Wimsatt Suspended for Unsuitable Bond Recommendations to Seniors
Unsuitable speculative bond recommendations to seniors violating Reg BI
2024-11-13 /CRD 4527828 /NY
Maryellen Smyth Barred for Refusing to Testify in FINRA Investigation
Refused to appear for FINRA on-the-record testimony
2024-11-13 /CRD 6274472 /CA
Ryan Bennett Suspended for Outside Business Activity and Undisclosed Accounts
Exceeded OBA approval and maintained undisclosed brokerage accounts
2024-11-12 /CRD 5576744 /TX
James Etter Suspended for Private Securities Transactions and Undisclosed Outside Business
Private securities transactions and undisclosed outside business activity
2024-11-12 /CRD 292218 /GA
EnrichHer Funding LLC Expelled from FINRA for Failure to Provide Information
Expelled for failure to provide information pursuant to FINRA Rule 9552
2024-11-12 /CRD 2323953 /NY
Michael Rosalia Barred for Failing to Testify in Excessive Trading Investigation
Failure to testify in excessive trading investigation