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Broker records
2,290 records on file, newest first
2024-10-22 /CRD 5059233 /CA
Steven Patrick McCormick Barred for Refusing to Provide Information in Response to Customer Complaint
Failure to provide information in response to customer complaint
2024-10-21 /CRD 132700 /FL
FINRA Expels Dakota Securities International and Bars Bruce Martin Zipper for Books and Records Violations
Books and records violations and association while suspended
2024-10-21 /CRD 159481 /NY
Fenix Securities Fined $250,000 for Allowing Unregistered Individuals to Conduct Securities Business
Allowing unregistered individuals to conduct securities business and AML failures
2024-10-21 /CRD 7400235 /CA
Cole Schmitz Barred for Refusing to Cooperate with Investigation of Client Signature Violations
Failure to cooperate with investigation of client signature violations
2024-10-21 /CRD 2894648 /MI
Eric Steven Smith Barred and Ordered to Pay $130,000 Restitution for Fraudulent Misrepresentations
Securities fraud and acting without registration
2024-10-18 /CRD 120708 /NY
Maxim Group Fined $75,000 for Inaccurate Rule 606 Reports
Rule 606 reporting violations
2024-10-17 /CRD 143221 /NY
CICC US Securities Fined $300,000 for Anti-Money Laundering Program Deficiencies
Anti-money laundering program deficiencies
2024-10-17 /CRD 5362689 /VA
Mark Gilbert Beesley Barred for Refusing to Appear for Testimony About Undisclosed Outside Business Activities
Failure to appear for testimony about undisclosed outside business activities
2024-10-17 /CRD 6941840 /NJ
Kittiany Davis Barrios Barred for Refusing to Cooperate with Customer Complaint Investigation
Failure to cooperate with investigation of customer complaint
2024-10-17 /CRD 1018907 /AZ
Sanford Graham Simmons Barred for Refusing to Appear for Testimony in Cause Examination Investigation
Failure to appear for testimony in cause examination investigation
2024-10-16 /CRD 127724 /OH
Investment Network Inc. and Gary Lee Arnold Suspended and Fined for Regulation Best Interest Violations
Regulation Best Interest violations and undisclosed compensation
2024-10-15 /CRD 5254392 /NY
Thomas James Baumann Barred for Refusing to Provide Information About Potentially Unauthorized Trading
Failure to provide information about potentially unauthorized trading