Broker records

Excessive trading violating Regulation Best Interest

$1,400,000 Read the record →

2024-10-07 /CRD 7059 /NY

Citigroup Global Markets Fined $1.4 Million for Margin and Net Capital Violations

fined

Failure to collect margin and inaccurate net capital reporting

2024-10-07 /CRD 2983634 /MI

Gary Francis Harpe Barred for Failing to Provide Information About Criminal Charge

Failure to provide information about criminal charges

2024-10-07 /CRD 2019969 /CO

Jeffrey Arthur Perryman Barred for Refusing to Provide Information About Outside Business Activities

Failure to provide information about outside business activities

2024-10-04 /CRD 5580543 /PA

Elan Sanker Barred for Refusing to Appear for FINRA Testimony

Failure to appear for FINRA testimony

2024-10-04 /CRD 5743175 /OK

Jeremy Dillon Baldwin Suspended for Undisclosed Outside Business Activity and Falsifying Records

Undisclosed outside business activity and falsifying compliance records

2024-10-04 /CRD 5955295 /NY

Nathan Elliot Lemberg Suspended for Fraudulent Continuing Education Certification

Fraudulent continuing education certification

2024-10-03 /CRD 154198 /OH

Signet Securities Fined for Regulation Best Interest Violations in Private Placement Due Diligence

fined

Regulation Best Interest violations and inadequate due diligence of private placements

2024-10-03 /CRD 7091117 /NY

Taulant Matthew Kodi Suspended for Fraudulent Continuing Education Certification

Fraudulent continuing education certification

2024-10-03 /CRD 7616259 /NY

Christian Scalia Suspended for Possessing Unauthorized Materials During Licensing Exams

Possessing unauthorized materials during licensing exams

2024-10-02 /CRD 2917334 /PA

David Allen Gibbs Suspended for Unauthorized Borrowing from Customer

Unauthorized borrowing from customer and false compliance attestations

2024-10-01 /CRD 4553309 /TX

Rajesh Markan Barred for Refusing to Provide Information to FINRA

Failure to cooperate with FINRA investigation