The database
Broker records
2,290 records on file, newest first
2024-11-11 /CRD 7353 /NY
G.research Fined for Inaccurate Form CRS Disclosure
Inaccurate Form CRS disciplinary history disclosure
2024-11-11 /CRD 6041154 /TX
Rudy Mejia Suspended for Undisclosed Private Securities Transactions and Outside Accounts
Undisclosed private securities transactions and outside brokerage accounts
2024-11-11 /CRD 6063246 /NY
Bryan Moskowitz Suspended for Excessive Trading Causing Customer Losses
Excessive and unsuitable trading causing customer losses
2024-11-11 /CRD 1920639 /NY
Leo Vassallo Suspended for Falsifying Customer Signatures
Falsified customer signatures and false compliance attestation
2024-11-08 /CRD 27060 /NY
BBVA Securities Fined $150,000 for Variable Annuity Exchange Supervision Failures
Failed to supervise variable annuity exchange rates
2024-11-08 /CRD 6672861 /NJ
Jordan Allen Suspended for Undisclosed Private Securities Transactions
Undisclosed private securities transactions and misleading firm
2024-11-08 /CRD 7442521 /RI
Jacob Fournier Suspended for Borrowing Money from Customer
Borrowed money from senior customer in violation of firm policy
2024-11-08 /CRD 7172151 /NE
Renee Lund Suspended for Falsifying Customer Signatures
Falsified customer signatures on account documents
2024-11-08 /CRD 4336146 /Spartan Capital Securities, LLC
Complaint Filed Against John Lowry and Kim Monchik for Failing to Respond to FINRA Requests
Alleged failure to respond to FINRA information requests
2024-11-07 /CRD 133763 /AZ
Osaic Services Fined $250,000 for Options Trading Supervision Failures
Failed supervision of options trading and excessive trading causing customer losses
2024-11-07 /CRD 146251 /NY
Spartan Capital Securities Fined $115,000 for Failing to Respond to FINRA Requests
Failure to timely respond to FINRA Rule 8210 requests
2024-11-07 /CRD 4922155 /TN
Jessica Jung Suspended for Mismarking Order Tickets
Mismarked order tickets causing inaccurate books and records