The database
Broker records
2,290 records on file, newest first
2024-08-12 /CRD 2841315 /New York
John Christoforidis Barred by FINRA for Refusing to Provide Testimony
Refusal to appear for on-the-record testimony during investigation into potential sales practice violations
2024-08-12 /CRD 3029958 /Texas
Michael Darin Dunlap Barred by FINRA for Converting Approximately $9,000 in Firm Funds
Conversion of approximately $9000 from member firm's parent company by misusing chapter debit cards and withdrawing funds without authorization
2024-08-12 /CRD 7127797 /CA
Matthew W. Kagan Suspended by FINRA Under Rule 9552(d) for Failure to Provide Information
Suspended for failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2024-08-12 /CRD 5708585 /NY
Joseph Paul Todaro 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
2024-08-08 /CRD 7144809 /Arizona
Sabrina Hampton Barred by FINRA for Refusing to Provide Testimony
Refusal to appear for on-the-record testimony during investigation into potential conversion of customer funds
2024-08-08 /CRD 2692818 /New York
FINRA Suspends and Fines Steven Aibel for Continuing Education Fraud
Falsely certifying completion of continuing education requirements for state insurance license renewal
2024-08-08 /CRD 1034480 /New York
FINRA Suspends John Rosario Emanuele for Continuing Education Fraud
Falsely certifying completion of continuing education requirements for state insurance license renewal
2024-08-08 /CRD 7602554 /NY
FINRA Complaint Filed Against Daniel Hoeflinger for Failure to Provide Information and Documents
Alleged failure to provide information and documents requested by FINRA in connection with investigation into allegations of providing false information to his member firm
2024-08-08 /CRD 1273118 /CA
Larry Richard Law 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
2024-08-06 /CRD 7560 /NJ
FINRA Fines Pershing LLC $175,000 for Failing to Report Millions of Fractional Share Trades Over 26 Years
Failure to report millions of fractional share trades to FINRA trade reporting facilities over a 26-year period; failure to pay associated regulatory transaction fees; failure to maintain a reasonably designed supervisory system for trade reporting
2024-08-06 /CRD 45993 /FL
FINRA Fines StoneX Financial $70,000 and Orders Restitution for Best Execution Failures in OTC Securities
Failure to provide best execution for OTC securities orders; failure to account for OTC Link message price opportunities in supervisory system
2024-08-06 /CRD 7182129 /New York
FINRA Suspends and Fines Jack S. Falzone Jr. for Continuing Education Fraud
Falsely certifying completion of continuing education requirements for state insurance license renewal