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2,290 records on file, newest first
2024-06-25 /CRD 2024-06-25 /5000
Katelyn Rae Cordido Reese Suspended 16 Months for Paying Customer Insurance Premiums to Generate Commissions
Cordido Reese Katelyn Rae,
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2024-06-24 /CRD 2024-06-24 /65509
Austin Richard Dutton Jr. Barred and Ordered to Disgorge $65,509 for Unsuitable Alternative Investments
Dutton Jr. Austin Richard,
$65,509 Read the record →
2024-06-24 /CRD 2024-06-24
Bryan Noonan Barred for Refusing to Cooperate with Investigation into Undisclosed Activities
Noonan Bryan,
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2024-06-24 /CRD 2024-06-24
Thomas Reyes Barred for Refusing to Testify About Undisclosed Annuity Sales
Reyes Thomas,
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2024-06-24 /CRD 2024-06-24 /5000
Steve Allen Moise Suspended for Excessive Trading Violating Regulation Best Interest
Moise Steve Allen,
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2024-06-21 /CRD 13092 /CA
Mutual Securities Fined for Settlement Agreements That Could Impede Regulatory Investigations
Impermissible confidentiality provisions in settlement agreements
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2024-06-21 /CRD 1254 /OR
Steward Partners Fined $225,000 After Senior Customer Lost $332,000 to ACH Fraud
Failed to supervise externally initiated ACH transfers
$225,000 Read the record →
2024-06-20 /CRD 2024-06-20 /50000
Devin Lamarr Wicker Barred and Ordered to Pay $50,000 Restitution for Converting Customer Funds
Wicker Devin Lamarr,
$50,000 Read the record →
2024-06-20 /CRD 2024-06-20
Michael Richard Rosalia Charged with Refusing to Testify About Alleged Excessive Trading
Rosalia Michael Richard,
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2024-06-18 /CRD 139148 /NY
Kepler Capital Markets Fined $475,000 for Overstating Trade Volume Data
Overstated trade volume data
$475,000 Read the record →
2024-06-14 /CRD 2024-06-14
Amber Rose Lewis Barred for Fabricating Exam Results and Providing False Information to FINRA
Lewis Amber Rose,
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2024-06-13 /CRD 2024-06-13
Collins Bhola Barred for Refusing to Provide On-the-Record Testimony
Bhola Collins,
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