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2,290 records on file, newest first
2024-03-20 /CRD 4466633 /NJ
Ravi D. Parmar Barred by FINRA for Refusing Testimony in Altered Expense Reports Investigation
Refusal to appear for on-the-record testimony; filing disclosed termination for submitting altered expense reports
2024-03-20 /CRD 2363510 /NY
FINRA Disciplinary Action: Robert Edward Johnson Suspended for False Continuing Education Certification
False certification of continuing education completion for insurance license renewal
2024-03-20 /CRD 5799049 /NY
FINRA Disciplinary Action: Joseph Kevin Mathesen Suspended for False Continuing Education Certification
False certification of continuing education completion for insurance license renewal
2024-03-20 /CRD 4807141 /NY
FINRA Disciplinary Action: Leonardo Hernandez III Suspended for Failure to Comply with Arbitration Award
Failure to comply with arbitration award (Rule 9554)
2024-03-19 /CRD 5749914 /GA
Matthew James Chimento Barred by FINRA for Failing to Provide Information in Unauthorized Fund Transfer Investigation
Failure to provide information and documents requested by FINRA; Form U5 alleged resignation while under review for unauthorized transfer of client funds
2024-03-19 /CRD 4620963 /NY
Jae Hun Kim Barred by FINRA for Refusing to Provide Information in Customer Arbitration Investigation
Refusal to provide information and documents requested by FINRA in investigation concerning circumstances of a customer arbitration
2024-03-19 /CRD 2689182 /FL
FINRA Disciplinary Action: John Jude Butler Suspended for Undisclosed Outside Business Activities
Failure to provide prior written notice to firm of outside business activities; false attestations on compliance questionnaires
2024-03-19 /CRD 1942953 /FL
FINRA Disciplinary Action: Todd Arnold Havemeister Suspended for Misleading Communications
Sending misleading, exaggerated, and promissory communications to prospective investors; omitting risk explanations; misrepresenting professional title; circulating communications without principal approval
2024-03-19 /CRD 4060322 /NJ
FINRA Disciplinary Action: Andre Krause Suspended for Mismarking Order Tickets
Causing firm to make and preserve inaccurate books and records by mismarking solicited order tickets as unsolicited
2024-03-18 /CRD 6166926 /NY
FINRA Disciplinary Action: Kwame Adusei Barred for Failure to Provide Information
Failure to provide information or keep information current (Rule 9552(h))
2024-03-18 /CRD 7581277 /SC
FINRA Disciplinary Action: Brittany Anderson Barred for Failure to Provide Information
Failure to provide information or keep information current (Rule 9552(h))
2024-03-18 /CRD 7536886 /HI
FINRA Disciplinary Action: Brian Hall Barred for Failure to Provide Information
Failure to provide information or keep information current (Rule 9552(h))