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Broker records
2,290 records on file, newest first
2024-07-30 /CRD 79 /NY
J.P. Morgan Securities Fined for Regulation NMS Violations
Regulation NMS violations for routing orders with outdated market data; inadequate supervision
2024-07-30 /CRD 2782162 /IN
Dale Self Suspended for Improperly Taking Customer Information
Unauthorized removal and retention of non-public customer information
2024-07-30 /CRD 4413359 /TX
Cathy Vasilev Suspended for Submitting False Content Approvals
Submitting false content approvals to FINRA; misrepresenting principal approval
2024-07-29 /CRD 30812 /KS
Riedl First Securities Ordered to Pay $102,181 in Restitution for Excessive Bond Mark-ups
Charging excessive mark-ups/mark-downs on bond proceeds transactions; inadequate fair pricing supervision
2024-07-29 /CRD 39262 /CA
Western International Securities Fined $475,000 for Excessive Trading Violations
Failure to supervise excessive trading; unsuitable trading causing excessive costs
2024-07-26 /CRD 41282 /NJ
The Jeffrey Matthews Financial Group Ordered to Pay $112,932 in Restitution for Unfair Bond Pricing
Charging unfair prices on bond transactions; inadequate fair pricing supervision
2024-07-26 /CRD 29257 /OH
FINRA Suspends Investments for You Inc. for Failure to Provide Information Under Rule 9552
Suspended for failure to provide information or keep information current pursuant to FINRA Rule 9552
2024-07-25 /CRD 5832597 /TX
Seth Alan McKinney Suspended for Undisclosed Private Securities Transactions
Participating in undisclosed private securities transactions totaling $2 million
2024-07-24 /CRD 2507050 /OH
Craig Sherman Thistlethwaite Suspended for Discretionary Trading and Communication Violations
Unauthorized discretionary trading; using unapproved communications causing incomplete records
2024-07-23 /CRD 463 /PA
Janney Montgomery Scott Fined $150,000 for Trade Reporting Violations
Inaccurate municipal securities and TRACE trade reporting; inadequate supervision
2024-07-23 /CRD 7392594 /KY
John A. Logan Suspended for Possessing Prohibited Materials During SIE Exam
Possessing prohibited materials during Securities Industry Essentials examination
2024-07-23 /CRD 4296168 /FL
FINRA Suspends Wentworth MacArthur Gardner for Failure to Comply with Arbitration Award Under Rule 9554
Suspended for failure to comply with an arbitration award pursuant to FINRA Rule 9554