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Broker records
2,290 records on file, newest first
2024-06-13 /CRD 2024-06-13
Ronnie Rindon Dumag Barred for Refusing to Cooperate with Investigation into Potential Conversion
Dumag Ronnie Rindon,
2024-06-11 /CRD 29721 /CA
GlobaLink Securities Ordered to Pay Nearly $400,000 in Customer Restitution for Unfair Bond Markups
Unfair bond markups and best execution failures
2024-06-11 /CRD 2024-06-11
Rosaline Alam Barred for Refusing to Cooperate with Investigation into Alleged Misappropriation
Alam Rosaline,
2024-06-10 /CRD 17972 /NJ
ACS Execution Services Fined $250,000 for Short Sale Violations
Failed to obtain locates for short sales
2024-06-10 /CRD 282940 /NY
TradeZero America Fined $250,000 for Misleading Influencer Marketing
Misleading influencer communications and supervisory failures
2024-06-10 /CRD 2024-06-10
Imdadur Rahman Barred for Fraudulent Beneficiary Designation and Elder Financial Exploitation
Crown Capital Securities L.P.
2024-06-10 /CRD 2024-06-10
Trevor Michael Saliba Barred by SEC for Providing False Documents to FINRA
Saliba Trevor Michael,
2024-06-06 /CRD 5613899 /SC
FINRA Suspends Adam J. Sciuto for Failure to Pay Dues and Fees Under Rule 9553
Suspended for failure to pay FINRA dues, fees, and other charges pursuant to FINRA Rule 9553
2024-06-04 /CRD 6312 /CA
Crown Capital Securities Fined $50,000 for Supervisory Failures
Failed to supervise direct business transactions
2024-06-03 /CRD 2024-06-03 /5000
Rod Charles Dayton Suspended for Falsely Certifying Completion of Insurance Continuing Education
Dayton Rod Charles,
2024-06-01 /CRD 35371
Securities America Ordered to Pay $2 Million Restitution for Mutual Fund Supervision Failures
Inadequate supervision of Class A mutual fund recommendations
2024-05-31 /CRD 19008 /CA
Ronald Harland Berg Barred for Refusing to Cooperate
Refused to provide information regarding recommendations to seniors to invest in private offerings and involvement with customer trusts