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Broker records
2,290 records on file, newest first
2024-08-02 /CRD 4725786 /IL
Ryan Scott Stoner 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
2024-08-01 /CRD 140356 /CA
FINRA Fines HB Securities $70,000 for Permitting Statutorily Disqualified Individual to Direct Firm Operations
Permitting a statutorily disqualified individual to associate with the firm and direct firm operations; allowing an unregistered individual to act in a principal capacity
2024-08-01 /CRD 7172537 /HB Securities LLC
Seung Hoon Kang Suspended 24 Months and Fined $50,000 for Acting as Unregistered Principal and Enabling Disqualified Individual
Acting in a principal capacity without FINRA registration; permitting a statutorily disqualified individual to direct firm operations through him
2024-08-01 /CRD 1942268 /NY
FINRA Complaint Filed Against Raymond Damien Rohne for Failure to Provide Testimony
Alleged failure to appear and provide on-the-record testimony requested by FINRA in connection with investigation into a failed sale of shares in a private space exploration company
2024-08-01 /CRD 6755115 /MA
Brian Ariel Chicas 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
2024-08-01 /CRD 2227996 /FL
Gaetano Magarelli 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
2024-08-01 /CRD 6755115 /MA
Brian Ariel Chicas Suspended for Failure to Comply with FINRA Arbitration Award
Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award (suspension subsequently lifted)
2024-07-31 /CRD 7560 /NJ
Pershing LLC Fined $1.4 Million for Providing Inaccurate Interest Rate Information
Providing inaccurate interest rate information on variable rate securities; inadequate supervision
2024-07-31 /CRD 107403 /NY
SpeedTrader Fined $165,000 for Inadequate Manipulation Surveillance and Market Access Controls
Inadequate supervision of potentially manipulative trading; failure to maintain financial risk management controls
2024-07-31 /CRD 5912786 /NY
Cole Fleming Suspended for Insurance Continuing Education Fraud
Falsely certifying completion of insurance continuing education
2024-07-31 /CRD 4543640 /CA
Kristopher Charles Kessler Suspended for Undisclosed Outside Business Activity
Undisclosed outside business activity; false statements on compliance questionnaires
2024-07-31 /CRD 5228523 /VT
Stephen M. Polak Suspended for Undisclosed Outside Business Activity and Private Securities Transactions
Undisclosed outside business activity; undisclosed private securities transactions