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2,290 records on file, newest first
2026-03-12 /CRD 44656 /NY
Arcadia Securities Fined $40,000 for Net Capital Deficiencies in Firm Commitment Underwritings
Failure to maintain required minimum net capital; inadequate supervisory system for net capital compliance in firm commitment underwritings
2026-03-09 /CRD 3129233 /AZ
FINRA Files Complaint Against James Fredrick Tighe for Impeding Investigation into Client Account Misconduct
Alleged failure to provide documents and information and on-the-record testimony to FINRA; alleged improper processing of withdrawals from client account based on unauthorized third-party instructions
2026-03-09 /CRD 7861603 /NC
William Kershaw Suspended for Failure to Provide Information to FINRA Pursuant to Rule 9552
Suspended pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current as required by FINRA
2026-03-09 /CRD 7282890 /KY
Robert Leroy Metz Suspended for Failure to Provide Information Required by FINRA
Suspended pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current as required by FINRA
2026-03-09 /CRD 6215149 /WV
Keith Wesley Schongar Suspended from Securities Industry for Failure to Provide Information to FINRA
Suspended pursuant to FINRA Rule 9552(d) for failure to provide information or keep information current as required by FINRA
2026-03-06 /CRD 1020 /NY
Canaccord Genuity Fined $20 Million for Widespread Trade Surveillance AML and Best Execution Failures
Failure to supervise trade surveillance; AML program failures; best execution violations; falsified information provided to FINRA; trading through protected quotations; facilitation of unregistered securities sales
2026-03-06 /CRD 3209012 /GA
Lester Joel Hochler Fined $5,000 and Suspended for Failing to Supervise Speculative Investment Recommendations
Failure to reasonably supervise representative's recommendations of speculative debt securities and non-traditional exchange-traded products to retail customers
2026-03-04 /CRD 5006655 /IL
Danish Rauf Barred for Refusing to Cooperate with FINRA Investigation into Undisclosed Outside Business Activity
Refusal to produce information and documents to FINRA in investigation into undisclosed outside business activity and potential private securities transactions
2026-03-03 /CRD 30996 /NY
Herold & Lantern Investments Fined $125,000 for Anti-Money Laundering Program Failures in Low-Priced Securities
Failure to establish and implement an adequate AML compliance program for low-priced securities transactions; failure to tailor AML program to business risks
2026-03-03 /CRD 5083883 /NY
David Nathan Cohen Barred for Refusing to Testify in FINRA Investigation into Customer Fund Misappropriation
Refusal to appear for on-the-record FINRA testimony in investigation into potential customer fund conversion or misappropriation
2026-03-02 /CRD 104982 /NC
Tradier Brokerage Fined $75,000 for Failing to Report Hundreds of Customer Complaints to FINRA
Failure to accurately report customer complaint statistics to FINRA; failure to establish adequate supervisory system for complaint reporting under FINRA Rule 4530(d)
2026-03-02 /CRD 47263 /Reid & Rudiger LLC
FINRA Charges Reid & Rudiger LLC and Brokers with Churning and Excessive Trading in Customer Accounts
Alleged churning and excessive trading in customer accounts; alleged willful violation of Exchange Act Section 10(b) and Regulation Best Interest