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Broker records
2,290 records on file, newest first
2024-07-05 /CRD 7010652 /FL
Dante Moss Suspended for Improperly Taking Customer Information
Unauthorized removal and retention of non-public customer information
2024-07-03 /CRD 6538272 /CA
Joseph A. Occhipinti Suspended for Sharing CFP Exam Content
Sharing CFP exam content in violation of testing rules
2024-07-02 /CRD 31194 /NY
RBC Capital Markets Fined for Mutual Fund Sales Charge Waiver Failures
Failure to provide mutual fund sales charge waivers and fee rebates; inadequate supervisory system
2024-07-02 /CRD 170937 /MA
SI Securities Fined $185,000 for Multiple Violations Including Failure to Return Investor Funds
Failure to return investor funds after material change to offering; failure to file private placement documents; Form CRS violations
2024-07-01 /CRD 7691 /NY
Merrill Lynch Ordered to Pay $1.5 Million for Reg BI Violations
Failure to comply with Regulation Best Interest; inadequate supervision causing customers to pay unnecessary fees
2024-07-01 /CRD 2871443 /OR
Jeffrey Thomas Higgins Barred for Refusing to Cooperate with FINRA Investigation
Refusal to cooperate with FINRA investigation; alleged misappropriation of client funds
2024-07-01 /CRD 2160235 /NY
Jeffrey Louis Payne Suspended for Insurance Continuing Education Fraud
Falsely certifying completion of insurance continuing education
2024-06-26 /CRD 2024-06-26 /7500
Thomas Nguyen Suspended for Undisclosed Outside Brokerage Accounts and Business Activities
Nguyen Thomas,
2024-06-26 /CRD 2024-06-26 /5000
Azmi Sharif and Sharif Azmi Sharif Suspended for Private Securities Transactions in Crypto Mining Investment
Sharif Azmi,
2024-06-26 /CRD 2024-06-26 /5000
Sharif Azmi Sharif Suspended for Private Securities Transactions in Crypto Mining Investment
Sharif Sharif Azmi,
2024-06-25 /CRD 1883553 /NY
David Scott Lerner Suspended for Using Personal Email for Securities Communications
Using unapproved personal email for business communications including high-risk investments
2024-06-25 /CRD 130560 /TX
SP Securities Fined for Escrow Violations in Private Offerings Raising $5.8 Million
Escrow violations and failure to return investor funds