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2,290 records on file, newest first
2024-10-01 /CRD 4321414 /CA
Daniella R. Rand Barred for Refusing to Provide Information to FINRA
Failure to cooperate with FINRA investigation
2024-10-01 /CRD 6308000 /NY
Amina Kennedy Suspended for Fraudulent Continuing Education Certification
Fraudulent continuing education certification
2024-09-30 /CRD 39137 /CT
FINRA Fines Cambridge International Securities $200,000 for Foreign Associate Supervision Failures
Failure to supervise foreign associates; failure to preserve electronic communications; unregistered activities
2024-09-30 /CRD 7691 /NY
FINRA Fines Merrill Lynch $2,000,000 for TRACE and MSRB Reporting Failures
Multiple TRACE and MSRB reporting failures including inaccurate execution times and unreported allocations
2024-09-30 /CRD 18476 /NY
FINRA Fines TD Securities $6,000,000 for Spoofing in U.S. Treasury Securities
Spoofing in U.S. Treasury securities; failure to establish supervisory system to detect spoofing
2024-09-30 /CRD 6121819 /TX
FINRA Bars Juan Antonio Gauna for Failure to Provide Information Under Rule 9552(h)
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2024-09-30 /CRD 4788074 /OK
FINRA Suspends David Jerry Love for Failure to Provide Information Under Rule 9552(d)
Suspended for failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2024-09-30 /CRD 6602283 /TX
FINRA Suspends Colton Wade Jacob for Failure to Comply with Arbitration Award Under Rule 9554
Suspended for failure to comply with an arbitration award pursuant to FINRA Rule 9554
2024-09-27 /CRD 42941 /MN
FINRA Fines The Oak Ridge Financial Services Group for Unfair Corporate Bond Pricing
Unfair pricing in corporate bond transactions; inadequate supervisory system for fair pricing compliance
2024-09-27 /CRD 2581633 /IL
FINRA Bars Brian Scott Graham for Refusing Testimony in Unauthorized Withdrawal Investigation
Refused to appear for on-the-record testimony requested by FINRA in connection with investigation into unauthorized ATM withdrawals from a customer account
2024-09-27 /CRD 5004750 /TN
FINRA Bars Timothy Fleming Jefferson for Failure to Provide Information Under Rule 9552(h)
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2024-09-27 /CRD 6639418 /IN
FINRA Suspends Sara Therese Jankowski for Failure to Provide Information Under Rule 9552(d)
Suspended for failure to provide information or keep information current pursuant to FINRA Rule 9552(d)