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2024-09-27 /CRD 5332847 /NJ
FINRA Suspends James Uriel Marrero 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)
2024-09-26 /CRD 6354296 /CA
Harshavardhan Reddy Pakhal Suspended by FINRA for Undisclosed Outside Employment
Undisclosed outside employment receiving over $607,000 in compensation and false compliance certifications
2024-09-24 /CRD 46173 /NY
FINRA Fines Park Avenue Securities for Mutual Fund Share Class Supervision Failures
Failure to supervise mutual fund share class recommendations to retirement plan customers
2024-09-23 /CRD 283942 /NY
FINRA Fines BofA Securities $60,000 for Untimely Form U4 Amendments
Failure to timely file Form U4 amendments for OBAs and address changes
2024-09-23 /CRD 7691 /NY
FINRA Fines Merrill Lynch $215,000 for Untimely Form U4 Amendments
Failure to timely file Form U4 amendments for OBAs and address changes
2024-09-23 /CRD 7717 /CA
FINRA Fines Independent Financial Group $500,000 for Excessive Trading Supervision Failures
Failure to supervise excessive trading; failure to respond to FINRA requests
2024-09-23 /CRD 107403 /NY
FINRA Sanctions SpeedTrader Inc. for Best Execution, AML, and Disclosure Failures
Best execution failures; AML deficiencies; false Form CRS disclosure; Rule 606 violations
2024-09-23 /CRD 2693672 /NY
FINRA Bars Wilfredo Felix Jr. for Failing to Respond to Rule 8210 Requests
Failed to respond to multiple FINRA Rule 8210 requests for firm general ledger and annual audited report
2024-09-23 /CRD 7809362 /NC
FINRA Bars Jessica Lynn Pinkard for Refusing to Cooperate with Investigation
Refused to provide documents, information, and testimony requested by FINRA in investigation into falsifying a customer signature on a wire agreement and facilitating cash exchanges
2024-09-23 /CRD 6368188 /NJ
FINRA Decision Under Appeal: Jose Luis Centeno Facing Sanctions for Falsifying Exception Report Reviews
Falsifying firm records by marking exception reports for suspicious trading activity as reviewed when they were not
2024-09-23 /CRD 74758 /UT
FINRA Suspends James Fredrick Easter 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)
2024-09-23 /CRD 6229377 /OK
FINRA Suspends Janelle Kay English 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)