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Broker records
2,290 records on file, newest first
2024-03-18 /CRD 4814346 /CA
FINRA Disciplinary Action: Monu Joseph Barred for Failure to Provide Information
Failure to provide information or keep information current (Rule 9552(h))
2024-03-18 /CRD 7575213 /SC
FINRA Disciplinary Action: Quintosha Thomas Barred for Failure to Provide Information
Failure to provide information or keep information current (Rule 9552(h))
2024-03-15 /CRD 793 /MO
FINRA Fines Stifel Nicolaus & Company $400,000 for Supervisory Failures in Customer Fund Conversion
Failed to supervise transmittal of customer funds; representative converted $105K from senior customer; failed to investigate red flags of unsuitable options trading
2024-03-15 /CRD 7698052 /TX
FINRA Disciplinary Action: Rista Sumaiya Haque Suspended for Exam Integrity Violation
Possession of unauthorized electronic device during SIE examination in violation of exam Rules of Conduct
2024-03-15 /CRD 4893776 /CT
FINRA Disciplinary Action: Gianluca De Berardinis Barred for Failure to Provide Information
Failure to provide information or keep information current (Rule 9552(h))
2024-03-15 /CRD 2557141 /NY
FINRA Disciplinary Action: Seth Horowitz Suspended for Failure to Comply with Arbitration Award
Failure to comply with arbitration award (Rule 9554)
2024-03-14 /CRD 23131 /NJ
FINRA Fines Osaic Wealth Inc. (fka Royal Alliance Associates) $150,000 for Cybersecurity Failures
Failed to establish supervisory system to safeguard customer records; no MFA or email encryption requirements; experienced cyber intrusions
2024-03-14 /CRD 10205 /NE
FINRA Fines Securities America Inc. $150,000 for Cybersecurity Failures
Failed to establish supervisory system to safeguard customer records; no MFA or email encryption requirements; experienced cyber intrusions
2024-03-13 /CRD 149224 /NY
FINRA Fines GTS Securities LLC $100,000 for Risk Management Control Failures
Routed erroneous orders from trading algorithms; manually disabled price band risk control; failed to establish reasonable risk management controls
2024-03-13 /CRD 6287728 /FL
Emily Jean Smith Suspended by FINRA for Falsifying Documents and Reusing Customer Signature Pages
Falsifying documents; reusing customer signature pages; altering signed documents; inaccurate books and records
2024-03-13 /CRD 1389729 /NY
Valence Montgomery Williams Suspended by FINRA for Unauthorized Discretionary Trading and Mismarking Trades
Unauthorized discretionary trading; mismarking trades as unsolicited; inaccurate books and records
2024-03-12 /CRD 3272604 /PA
Joseph Michael Cucinotta Jr. Suspended by FINRA for Falsifying Customer Signatures on Annuity Applications
Falsifying customer signatures on annuity applications; inaccurate documentation