The database
Broker records
2,290 records on file, newest first
2024-10-15 /CRD 1021759 /CA
Harold Edward Klein Suspended for Falsifying Customer Signatures
Falsifying customer signatures
2024-10-11 /CRD 4276539 /MO
George Herman Snyder IV Suspended for Regulation Best Interest Violations and Unauthorized Discretion
Regulation Best Interest violations and unauthorized discretion
2024-10-09 /CRD 116797 /FL
Citadel Securities Fined $1 Million for CAT Reporting Violations
Consolidated Audit Trail reporting violations
2024-10-09 /CRD 104143 /IL
IMC-Chicago Fined $1.2 Million for CAT Reporting Failures and Supervisory Deficiencies
CAT reporting violations and inadequate supervisory system
2024-10-09 /CRD 4312757 /PA
Kimberly Ann Clark Barred for Refusing to Provide Information About Misuse of Outside Business Activity Funds
Failure to provide information about alleged misuse of outside business activity funds
2024-10-09 /CRD 6992330 /NE
Michael Lancaster Barred for Refusing to Provide Information About Termination
Failure to provide information about termination for complaints policy violations
2024-10-08 /CRD 3111426 /CA
Robert Anthony Daly Barred for Refusing to Provide Information About Undisclosed Private Securities Transactions
Failure to provide information about undisclosed private securities transactions
2024-10-08 /CRD 3101928 /NY
George Apolonides Suspended for Excessive Trading Violating Regulation Best Interest
Excessive trading violating Regulation Best Interest
2024-10-08 /CRD 2566951 /NY
Vincent Edward Catanzaro Suspended for Fraudulent Continuing Education Certification
Fraudulent continuing education certification
2024-10-08 /CRD 6424082 /CA
Feng Kou Chen Suspended for Adding Himself as Beneficiary and Unauthorized Trading
Fraudulent beneficiary designations and unauthorized trading
2024-10-08 /CRD 6289249 /MN
Kevin Patrick Kuhl Suspended for Falsifying Customer Signatures
Falsifying customer signatures and false compliance attestations
2024-10-08 /CRD 4571317 /NY
Kyle Infinite Manning Suspended for Excessive Trading Violating Regulation Best Interest
Excessive trading violating Regulation Best Interest