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Broker records
2,290 records on file, newest first
2024-11-06 /CRD 1329 /GA
Smith, Brown & Groover Ordered to Pay $2 Million for Unsuitable ETN Trading Strategy
Recommending unsuitable ETN trading strategy without understanding risks
2024-11-06 /CRD 17140 /MO
Commerce Brokerage Services Fined $75,000 for Failing to Arbitrate Disputes
Failed to arbitrate disputes as required by FINRA rules
2024-11-06 /CRD 277027 /IL
Tastytrade Fined for Inadequate Supervision of Employee Outside Accounts
Failed to supervise associated persons' outside securities accounts
2024-11-06 /CRD 3214712 /GA
Walter Bish Suspended for Recommending ETN Strategy Without Understanding Risks
Recommended trading strategy without understanding its risks
2024-11-06 /CRD 5013252 /GA
Tim Hemingway Suspended for Recommending ETN Strategy Without Understanding Risks
Recommended trading strategy without understanding its risks
2024-11-06 /CRD 1801686 /OK
James Stockton Suspended for Undisclosed Private Securities Transactions
Private securities transactions without notice and false compliance questionnaire
2024-11-05 /CRD 156691 /NY
XP Investments Fined $800,000 for Private Placement and Trading Violations
Inadequate private placement due diligence and trade reporting violations
2024-11-05 /CRD 5096798 /FL
Sherwin Sargeant Barred for Refusing to Testify in FINRA Investigation
Refused to appear for FINRA on-the-record testimony
2024-11-05 /CRD 6226088 /NY
Jared Berrios Suspended for Insurance Continuing Education Fraud
False certification of continuing education completion
2024-11-04 /CRD 146251 /Spartan Capital Securities, LLC
Spartan Capital Securities, John Lowry, and Kim Monchik Fined for Disclosure Failures
Failure to disclose customer arbitrations and complaints on Forms U4 and U5
2024-11-04 /CRD 151604 /MI
Concorde Investment Services Fined for Unsuitable Alternative Investment Recommendations
Failed supervision of unsuitable alternative investment recommendations to seniors
2024-11-04 /CRD 3044272 /MD
Lisa Jones Suspended for Undisclosed Outside Business Activity
Undisclosed outside business activity and false compliance attestations