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Broker records
2,290 records on file, newest first
2024-11-01 /CRD 8209 /NY
Morgan Stanley Fined $1 Million for Market Access Control Failures
Failure to maintain adequate market access risk management controls
2024-11-01 /CRD 4479606 /NY
Arnold Feldman Suspended for Insurance Continuing Education Fraud
False certification of continuing education completion
2024-10-31 /CRD 36538 /Celadon Financial Group LLC
Celadon Financial Group and Paul Mitchell Waldman Fined for Rule 606 Reporting and AML Program Failures
Rule 606 reporting violations and AML program failures
2024-10-30 /CRD 1357703 /NY
Suzanne Marie Capellini Barred by NAC for AML Failures and Providing False Information to FINRA
AML program failures and providing false information to FINRA
2024-10-29 /CRD 19585 /NY
HSBC Securities Fined for Late TRACE Reporting and Inadequate Supervision
Late TRACE reporting and inadequate supervisory system
2024-10-28 /CRD 4370485 /TX
Kelln Beth Small Barred for Refusing to Testify About Alleged Forgery of Insurance Documents
Failure to testify about alleged forgery of insurance documents
2024-10-25 /CRD 6676717 /NY
Tavic OShane Lloyd Francis Barred for Refusing to Provide Information About Corporate Credit Card Misuse
Failure to provide information about corporate credit card misuse
2024-10-23 /CRD 156046 /NY
Sustainable Development Capital Fined for Failure to Conduct Independent AML Testing
Failure to conduct independent AML testing
2024-10-23 /CRD 46987 /FL
ViewTrade Securities Fined for Inadequate Supervision of Outside Brokerage Accounts
Inadequate supervision of outside brokerage accounts
2024-10-23 /CRD 4056836 /MN
Jonathan Neil Vagle Barred for Refusing to Testify About Insurance Premium Payment Violations
Failure to testify about insurance premium payment violations
2024-10-22 /CRD 36418 /CT
Interactive Brokers Fined $475,000 for Securities Lending Program Failures
Securities lending segregation violations and inadequate supervision
2024-10-22 /CRD 7110607 /TX
Kenneth Joseph Judd Barred for Refusing to Provide Information About Regulation D Offering Audit Failure
Failure to provide information about Regulation D offering audit failure