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Broker records
2,290 records on file, newest first
2024-09-10 /CRD 5784741 /NY
Jeremy Isleman Suspended by FINRA for Continuing Education Fraud
False certification of continuing education completion
2024-09-09 /CRD 79 /NY
FINRA Fines J.P. Morgan Securities LLC for Permitting Unregistered Investment Banking Activity
Permitted unregistered individuals to perform investment banking activities; inadequate supervisory system for registration compliance
2024-09-09 /CRD 5889108 /GA
FINRA Bars Ashlee Nicole Godfrey for Refusing Testimony in Misrepresentation Investigation
Refused to provide testimony in investigation into misrepresenting to a customer that preferred securities were insured via unapproved communication platform
2024-09-09 /CRD 1219255 /FL
FINRA Bars Michael Charles Grande for Failing to Provide Requested Information
Failed to provide information requested by FINRA pursuant to Rule 8210 in connection with investigation into short-term mutual fund trading recommendations
2024-09-09 /CRD 4538364 /SD
Spencer Reed Huggett Suspended by FINRA for Falsifying Customer Signatures
Falsifying electronic signatures of customers on account documents
2024-09-09 /CRD 5210376 /IL
Yonglin Ren Suspended by FINRA for Unapproved Social Media Communications
Using unapproved social media for securities business communications despite firm warning
2024-09-09 /CRD 5031281 /NJ
FINRA Complaint Filed Against Shadi Taysir Barakat for Alleged Failure to Provide Testimony
Alleged failure to provide on-the-record testimony pursuant to FINRA Rule 8210 during investigation into potential churning and excessive trading
2024-09-09 /CRD 5826058 /FL
FINRA Bars Zev Marten Bishop 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)
2024-09-09 /CRD 7317776 /OH
FINRA Bars Mariah Nagy 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)
2024-09-09 /CRD 1766745 /FL
FINRA Suspends Gail Antoinette Milon for Failure to Comply with Arbitration Award Under Rule 9554
Suspended for failure to comply with an arbitration award pursuant to FINRA Rule 9554
2024-09-09 /CRD 2874899 /NY
FINRA Suspends David Hilton Page for Failure to Comply with Arbitration Award Under Rule 9554
Suspended for failure to comply with an arbitration award pursuant to FINRA Rule 9554
2024-09-06 /CRD 148493 /NY
FINRA Fines Odeon Capital Group LLC for Supervisory Failures in SPAC Offerings
Failure to establish supervisory system for compliance with FINRA Rule 5121 QIU requirements in SPAC offerings