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Broker records
2,290 records on file, newest first
2026-01-26 /CRD 7227533 /GA
Andy O. Okala Barred by FINRA for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2026-01-26 /CRD 6316100 /FL
Michael Joseph Whitaker Barred by FINRA for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2026-01-26 /CRD 7977466 /CA
Patrick Michael Roraff Suspended by FINRA for Failure to Provide Information
Suspended for failure to provide information or keep information current pursuant to FINRA Rule 9552(d)
2026-01-23 /CRD 6446187 /TX
Hugo Hernandez Barred from Securities Industry for Refusing FINRA Investigation
Refused to appear for testimony in FINRA investigation into failure to return investment funds, undisclosed private securities transactions and OBAs, and borrowing from customers
2026-01-22 /CRD 310576 /NY
Stirlingshire Investments Fined $40,000 for Reg BI Violations and Non-Traditional ETF Supervisory Failures
Violated Reg BI by failing to supervise non-traditional ETF recommendations; failed to timely file private placement offering materials with FINRA
2026-01-22 /CRD 1286778 /CA
Broker Jonathon Webster Suspended for Recommending Strategy That Generated $121,000 in Unnecessary Commissions for Senior Customers
Willful Reg BI violation: recommended trading strategy generating $121,725 in unnecessary commissions for 19 retail customers including at least 13 seniors
2026-01-22 /CRD 286268 /NY
Dealer Solutions North America LLC Expelled by FINRA for Failure to Provide Information
Expelled for failure to provide information or keep information current pursuant to FINRA Rule 9552
2026-01-21 /CRD 149823 /NY
Virtu Americas LLC Fined $200,000 for Deficient Intermarket Sweep Order Routing
Failed to ensure intermarket sweep orders met applicable regulatory requirements; potentially failed to execute against protected quotations
2026-01-21 /CRD 4556340 /NY
FINRA Files Complaint Against Tory Duggins Amid Investigation into Alleged Churning
Alleged failure to provide FINRA testimony in investigation into churning and excessive trading in customer accounts
2026-01-20 /CRD 1061209 /IL
James Thaddeus Walesa Barred for Refusing to Cooperate with FINRA Investigation
Refused to respond to FINRA information requests and testimony in investigation into sales practice violations and undisclosed private securities transactions
2026-01-20 /CRD 7756662 /CA
Matthew Vernon Brosh Barred by FINRA for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)
2026-01-20 /CRD 2180626 /FL
Joseph Gordon Nelson Barred by FINRA for Failure to Provide Information
Barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h)