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2024-08-20 /CRD 134 /NY
FINRA Fines Cantor Fitzgerald $100,000 and Orders Restitution for Best Execution Failures in OTC Securities
Failure to provide best execution for OTC securities orders; unreasonably narrow best execution review parameters; technical failures in supervisory exception reports
2024-08-20 /CRD 1982814 /Idaho
Gregory Alan Corrie Barred by FINRA for Refusing to Cooperate with Investigation
Refusal to produce information and documents requested by FINRA; terminated for excessive use of Unit Investment Trust products; firm made remediation payments related to trading activity
2024-08-20 /CRD 5141716 /New York
FINRA Suspends Salvatore Rosario Tringali for Falsely Certifying Completion of Continuing Education
Falsely certifying completion of continuing education; another person completed required continuing education on his behalf
2024-08-20 /CRD 6923343 /IN
Jessica Lynn Cottee Barred by FINRA Under Rule 9552(h) for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2024-08-20 /CRD 6997755 /NY
Vanessa Oliveira Hendrickson Barred by FINRA Under Rule 9552(h) for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2024-08-19 /CRD 7521305 /CA
Fanar Fawaz Almosleh Barred by FINRA Under Rule 9552(h) for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2024-08-19 /CRD 6088898 /NY
Samuel Girgiss Barred by FINRA Under Rule 9552(h) for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2024-08-19 /CRD 4049732 /CA
Henry Chia-How Chang Suspended by FINRA Under Rule 9554 for Failure to Comply with Arbitration Award
Suspended for failure to comply with an arbitration award or related settlement pursuant to FINRA Rule 9554
2024-08-16 /CRD 29337 /PA
FINRA Fines SAL Equity Trading $75,000 for Inaccurate TRACE Reporting
Inaccurate TRACE reporting by failing to include the No Remuneration (NR) indicator; failure to establish supervisory system for TRACE reporting compliance
2024-08-16 /CRD 5976029 /Pennsylvania
Christopher Reynolds Barred by FINRA for Forging Customer Signatures and Regulation Best Interest Violations
Forging customer signatures causing inaccurate books and records; willful violation of Regulation Best Interest on annuity transactions causing over $32000 in surrender fees; failure to retain business communications by using personal devices
2024-08-16 /CRD 1957501 /IL
Helen Grace Caldwell Suspended by FINRA Under Rule 9554 for Failure to Comply with Arbitration Award
Suspended for failure to comply with an arbitration award or related settlement pursuant to FINRA Rule 9554
2024-08-15 /CRD 18487 /NY
FINRA Fines American Portfolios Financial Services $225,000 for Anti-Money Laundering and Supervisory Failures
Failure to implement a reasonably designed AML compliance program for low-priced securities; failure to investigate suspicious deposit-liquidate-withdraw patterns; failure to establish supervisory system for compliance with Section 5 of the Securities Act