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Broker records
2,290 records on file, newest first
2024-07-22 /CRD 6169844 /CA
Daniel Keith Beech Suspended for Paying Commissions to Unregistered Person
Paying commissions to unregistered person
2024-07-22 /CRD 1500962 /MN
Brian Carroll Beh Suspended for Undisclosed Outside Business Activity and Misleading Communications
Undisclosed outside business activity; forwarding misleading marketing materials
2024-07-22 /CRD 1374445 /OH
Scott Eugene Buck Suspended for Unauthorized Trading and Unapproved Communications
Unauthorized trading including after customer death; using unapproved communications; false statements to firm
2024-07-19 /CRD 41282 /NJ
The Jeffrey Matthews Financial Group Fined for Regulation Best Interest Violations
Failure to establish adequate Regulation Best Interest and Form CRS policies and procedures
2024-07-19 /CRD 6946439 /MS
Jordan Stentiford Barred for Refusing to Testify About Forged Customer Signature
Refusal to cooperate with FINRA investigation; alleged forgery of customer signature
2024-07-19 /CRD 4809824 /AZ
Scott Willard Taubman Suspended for Borrowing from Senior Customers
Borrowing from customers without firm approval; false attestations on compliance questionnaires
2024-07-19 /CRD 4205289 /WI
John E. Pelletier Decision: Unauthorized Transactions in Customer Account
Executing unauthorized transactions in customer retirement account
2024-07-18 /CRD 26314 /NJ
SEC Remands Cantone Research Case for Redetermination of Sanctions
Material misrepresentations and omissions in private placement offering; failure to supervise
2024-07-18 /CRD 665 /MN
Piper Sandler Fined for Allowing Unqualified Person to Engage in Municipal Securities Activities
Allowing unqualified person to engage in municipal securities activities; inadequate supervisory system
2024-07-18 /CRD 7003820 /MS
Zachary Ross McCraw Barred for Refusing to Testify in FINRA Investigation
Refusal to cooperate with FINRA investigation; alleged submission of non-genuine electronic client signatures
2024-07-18 /CRD 1677291 /NJ
Thomas Joseph Clifford III Suspended for Insurance Continuing Education Fraud
Falsely certifying completion of insurance continuing education
2024-07-17 /CRD 6185923 /CA
Diptes Basu Suspended for CFP Exam Misconduct
Soliciting, receiving, and sharing CFP exam content in violation of testing rules