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2,290 records on file, newest first
2024-09-16 /CRD 3072489 /NY
FINRA Suspends Michael Joseph Russo 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)
2024-09-13 /CRD 6516 /FL
FINRA Fines Securities Research Inc. of Florida for Mutual Fund Switching Supervision Failures
Failure to supervise short-term mutual fund switching; failure to apply sales charge waivers
2024-09-13 /CRD 5288651 /CA
Richard Randy Mireles Suspended by FINRA for Supervisory Failures in Excessive Trading
Failure to supervise and respond to red flags of excessive trading in customer accounts
2024-09-13 /CRD 7097968 /CO
Christina Skipper Suspended by FINRA for Fabricating Email to Conceal Missed Deadline
Fabricating email to conceal missed customer redemption deadline
2024-09-13 /CRD 7475634 /IL
FINRA Suspends Luis Quintanar Castanon 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)
2024-09-12 /CRD 19616 /MO
FINRA Fines Wells Fargo Clearing Services for Failure to Supervise Unsuitable Short-Term Trading
Failure to supervise representative's unsuitable short-term trading of syndicate products
2024-09-12 /CRD 4951340 /NY
FINRA Suspends Helen Thomasine Andrews for Failure to Comply with Arbitration Award Under Rule 9554
Suspended for failure to comply with an arbitration award pursuant to FINRA Rule 9554
2024-09-11 /CRD 1768525 /TX
FINRA Bars Tracy Marie Longstreet for Refusing to Cooperate with Investigation
Refused to provide documents and information requested by FINRA in investigation into improper changes to IRA beneficiaries
2024-09-11 /CRD 6674954 /NJ
FINRA Bars John A. Perez-Cubero for Ceasing Cooperation with Investigation
Refused to produce information and documents requested by FINRA in investigation into unauthorized disbursement from customer accounts
2024-09-11 /CRD 2774915 /NY
Christopher Charles Mancini Suspended by FINRA for Continuing Education Fraud
False certification of continuing education completion
2024-09-11 /CRD 7742375 /FL
Giovanni Perez Suspended by FINRA for Failing to Disclose Felony Charge
Willful failure to disclose felony charge on Form U4
2024-09-10 /CRD 4435995 /FL
Justin Y. Gerow Suspended by FINRA for Forging Customer Signatures on Transfer Forms
Forging customer signatures on representative of record change forms without permission