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2,290 records on file, newest first
2024-09-17 /CRD 3123249 /NY
FINRA Bars Stephen James Sullivan for Failing to Cooperate with Churning Investigation
Failed to provide testimony, information, and documents requested by FINRA in connection with investigation into potential churning and excessive trading
2024-09-17 /CRD 6779701 /FL
FINRA Bars Barak Rebibo 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)
2024-09-16 /CRD 41970 /NC
FINRA Fines Carolina Financial Securities for Contingency Offering Violations
Willful violation of Exchange Act Rule 10b-9; failure to terminate contingency offering upon material change
2024-09-16 /CRD 104343 /CO
FINRA Fines Colorado Financial Service Corporation for AML Surveillance Deficiencies
AML procedures not reasonably designed to detect suspicious transactions including prearranged trading
2024-09-16 /CRD 7560 /NJ
FINRA Fines Pershing LLC for Trade Reporting Failures in Municipal and TRACE Securities
Failure to report NTBC and NR indicators for municipal and TRACE-eligible securities transactions
2024-09-16 /CRD 4237020 /GA
FINRA Bars Tamarah Daniel Taylor for Misrepresentations and Fabricating Documents
Made misrepresentations regarding broker-dealer registration status and fabricated regulatory documents
2024-09-16 /CRD 5624212 /NY
Albert Mosseri Suspended by FINRA for Continuing Education Fraud
False certification of continuing education completion
2024-09-16 /CRD 6274243 /FL
Monique Russell Suspended by FINRA for Continuing Education Fraud
False certification of continuing education completion
2024-09-16 /CRD 5523793 /CA
Rocio Tapia Suspended by FINRA for CFP Exam Misconduct
Soliciting and receiving CFP exam content in violation of testing rules
2024-09-16 /CRD 1975407 /IL
Robert Kennedy Thompson Suspended by FINRA for Undisclosed Outside Business Activity
Engaging in outside business activity after firm denied approval
2024-09-16 /CRD 4974726 /DC
FINRA Bars Courtney Smith 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)
2024-09-16 /CRD 6722271 /FL
FINRA Suspends Juan Manuel Bernal Gomez 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)