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Broker records
2,290 records on file, newest first
2024-05-09 /CRD 7691 /NY
Merrill Lynch Fined $825,000 for Order Execution and Recordkeeping Failures
Failed to supervise order execution timeliness and accuracy of order memoranda
2024-05-09 /CRD 6899858 /CA
Kris Min Lee-Kim Barred for Refusing to Cooperate with FINRA
Refused to provide information to FINRA regarding alleged violations of Currency Transaction Reporting policy
2024-05-08 /CRD 7135693 /TX
Matthew Tze-Duhr Chen Barred for Refusing to Testify
Refused to testify regarding allegations of procedure violations and attempted fraud against firm
2024-05-08 /CRD 1295560 /TX
Kevin Elijah Davis Barred for Refusing to Testify
Refused to testify regarding failure to disclose loan to family member in violation of firm policy
2024-05-07 /CRD 47654 /NYPPEX, LLC
NYPPEX LLC Suspended for Statutory Disqualification Violations
Allowed statutorily disqualified individual to remain associated with firm, published misleading statements, failed to provide complete responses to FINRA
2024-05-07 /CRD 19647 /NY
Mizuho Securities Fined for Inaccurate Customer Confirmations
Prepared inaccurate customer confirmations despite prior FINRA warning, failed to maintain adequate supervisory system
2024-05-07 /CRD 249 /NY
Oppenheimer Fined $500,000 for Failing to Supervise Direct Business Transactions
Failed to supervise direct business transactions, inadequate collection of customer investment profile information
2024-05-07 /CRD 4689031 /CA
David Wei Wong Accused of Converting Customer Funds
Accused of converting $9,430.75 in customer funds without authorization
2024-05-06 /CRD 281242 /IL
M1 Finance Fined $400,000 for Regulation SHO Violations
Violated Regulation SHO short sale locate and order marking requirements, failed to supervise compliance
2024-05-02 /CRD 151717 /CA
SoFi Securities Fined $1.1 Million for Identity Theft and Fraud Vulnerabilities
Failed to establish adequate Customer Identification Program and Identity Theft Prevention Program, enabling fraud
2024-05-02 /CRD 6569005 /MI
Michael Gerard Gravelyn Barred for Refusing to Cooperate with FINRA
Refused to provide information to FINRA regarding circumstances of resignation for policy violations
2024-05-02 /CRD 5314848 /NY
Gloria R. Geslak Suspended for False Insurance Continuing Education Certification
Falsely certified completion of insurance continuing education when another person completed it on her behalf