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Broker records
2,290 records on file, newest first
2024-09-04 /CRD 1783191 /KS
Glenn Edwin Bridwell Jr. Suspended by FINRA for Unauthorized Discretion
Exercising discretionary power without prior written customer authorization
2024-09-03 /CRD 3145183 /NY
Christopher Frank Deo Suspended by FINRA for Continuing Education Fraud
False certification of continuing education completion
2024-09-03 /CRD 1180997 /FL
Roger Philip Turcotte Suspended by FINRA for Mismarking Trade Tickets
Mismarking solicited trades as unsolicited and causing inaccurate books and records
2024-09-03 /CRD 322261 /WA
FINRA Suspends Airlink Markets LLC for Failure to Provide Information Under Rule 9552
Suspended for failure to provide information or keep information current pursuant to FINRA Rule 9552
2024-09-03 /CRD 292218 /GA
FINRA Suspends EnrichHer Funding LLC for Failure to Provide Information Under Rule 9552
Suspended for failure to provide information or keep information current pursuant to FINRA Rule 9552
2024-09-03 /CRD 3798 /MA
FINRA Suspends Wood (Arthur W.) Company Inc. for Failure to Provide Information Under Rule 9552 (September 3 2024)
Suspended for failure to provide information or keep information current pursuant to FINRA Rule 9552
2024-09-03 /CRD 1557229 /NY
FINRA Suspends Michael Frank Paesano for Failure to Comply with Arbitration Award Under Rule 9554
Suspended for failure to comply with an arbitration award pursuant to FINRA Rule 9554
2024-09-03 /CRD 4857906 /CA
FINRA Suspends Amy Nuttall Zwaan for Failure to Comply with Arbitration Award Under Rule 9554
Suspended for failure to comply with an arbitration award pursuant to FINRA Rule 9554
2024-08-30 /CRD 299606 /UT
FINRA Fines Brex Treasury $900,000 for Anti-Money Laundering and Customer Identification Failures
Failure to maintain reasonably designed AML program for customer identification and beneficial ownership verification; approval of hundreds of potentially fraudulent accounts; failure to file Suspicious Activity Reports (SARs)
2024-08-30 /CRD 2061869 /New Jersey
FINRA Suspends David Nathan Slater for Sharing Approximately $500,000 in Commissions with Unregistered Person
Sharing approximately $500,000 in commissions from securities transactions with an unregistered person; unregistered person participated in securities recommendations
2024-08-29 /CRD 126867 /NC
FINRA Fines Place Trade Financial $10,000 for Exaggerated and Misleading Website Statements
Making exaggerated, unwarranted, promissory, and misleading statements on firm website; failure to remediate issues after FINRA warning for approximately three years
2024-08-29 /CRD 705 /FL
FINRA Fines Raymond James & Associates $525,000 and Orders Restitution for Supervisory Failures in Customer Complaint Reporting and Mutual Fund Oversight
Failure to supervise customer complaint reporting via FINRA Rule 4530 and Form U4/U5 amendments; failure to supervise 4.7 million mutual fund purchases due to data filter error resulting in excessive sales charges