https://mybadbroker.com https://mybadbroker.com/brokers https://mybadbroker.com/faq https://mybadbroker.com/brokers/randy-cleve-fox-suspended-for-failure-to-comply-with-finra-arbitration-award2026-05-06 https://mybadbroker.com/brokers/eileen-law-cure-suspended-for-failure-to-comply-with-finra-arbitration-award2026-05-05 https://mybadbroker.com/brokers/new-jersey-broker-cameryn-lindsay-barred-for-refusing-to-cooperate-with-sie-examination-investigation2026-04-30 https://mybadbroker.com/brokers/cambridge-investment-research-fined-200000-for-failure-to-supervise-uit-recommendations2026-04-30 https://mybadbroker.com/brokers/swbc-investment-services-fined-25000-for-net-capital-deficiency-and-reporting-violations2026-04-28 https://mybadbroker.com/brokers/louisiana-broker-james-cox-suspended-for-failure-to-comply-with-arbitration-award2026-04-27 https://mybadbroker.com/brokers/james-keith-cox-suspended-for-failure-to-comply-with-finra-arbitration-award2026-04-27 https://mybadbroker.com/brokers/ohio-broker-james-ptacek-suspended-for-undisclosed-outside-business-activity2026-04-24 https://mybadbroker.com/brokers/andes-capital-group-fined-25000-for-regulation-best-interest-compliance-failures2026-04-24 https://mybadbroker.com/brokers/new-jersey-broker-glenn-romer-suspended-for-failure-to-comply-with-arbitration-award2026-04-22 https://mybadbroker.com/brokers/new-jersey-broker-kim-monchik-suspended-for-failing-to-respond-to-finra-information-requests2026-04-22 https://mybadbroker.com/brokers/new-york-broker-john-lowry-suspended-for-failing-to-respond-to-finra-requests-and-supervisory-failures2026-04-22 https://mybadbroker.com/brokers/glenn-j-romer-suspended-for-failure-to-comply-with-finra-arbitration-award2026-04-22 https://mybadbroker.com/brokers/alaska-broker-serge-suleimani-suspended-and-released-for-failure-to-comply-with-arbitration-award2026-04-21 https://mybadbroker.com/brokers/new-york-broker-joel-benanti-charged-with-refusing-to-cooperate-with-finra-investigation2026-04-21 https://mybadbroker.com/brokers/staten-island-principal-frederick-cammarano-suspended-for-failing-to-address-excessive-trading-red-flags2026-04-21 https://mybadbroker.com/brokers/new-york-broker-jesse-krapf-suspended-for-failure-to-provide-information-to-finra2026-04-20 https://mybadbroker.com/brokers/michigan-broker-matthew-north-barred-for-failure-to-provide-information-to-finra2026-04-20 https://mybadbroker.com/brokers/connecticut-broker-eugene-antosh-barred-for-failure-to-provide-information-to-finra2026-04-20 https://mybadbroker.com/brokers/barclays-capital-fined-140000-for-short-sale-regulation-sho-violations2026-04-20 https://mybadbroker.com/brokers/arkansas-broker-brandon-still-suspended-18-months-for-misappropriating-firm-funds2026-04-17 https://mybadbroker.com/brokers/ohio-broker-carolyn-dammeyer-barred-for-failure-to-provide-information-to-finra2026-04-16 https://mybadbroker.com/brokers/miami-broker-peter-rosten-fined-and-suspended-for-manipulative-trading-in-otc-stock2026-04-16 https://mybadbroker.com/brokers/ebisu-securities-suspended-for-failure-to-provide-information-to-finra2026-04-15 https://mybadbroker.com/brokers/cape-securities-inc-cancelled-for-failure-to-pay-finra-dues-and-fees2026-04-14 https://mybadbroker.com/brokers/naples-broker-david-joyce-barred-for-refusing-to-cooperate-with-finra-investigation2026-04-14 https://mybadbroker.com/brokers/brentwood-capital-advisors-fined-45000-for-aml-compliance-program-deficiencies2026-04-14 https://mybadbroker.com/brokers/north-carolina-broker-william-miller-suspended-for-failure-to-provide-information-to-finra2026-04-13 https://mybadbroker.com/brokers/california-broker-clinton-galloway-suspended-for-failure-to-provide-information-to-finra2026-04-13 https://mybadbroker.com/brokers/wells-fargo-clearing-services-fined-125000-for-fractional-share-and-error-correction-trade-reporting-failures2026-04-13 https://mybadbroker.com/brokers/texas-broker-stephen-parks-suspended-for-selling-private-placements-without-required-registration2026-04-10 https://mybadbroker.com/brokers/florida-broker-mark-kolta-barred-for-unsuitable-reit-recommendations-and-falsifying-customer-records2026-04-10 https://mybadbroker.com/brokers/mcap-llc-fined-15000-for-anti-money-laundering-testing-deficiencies2026-04-09 https://mybadbroker.com/brokers/massachusetts-broker-brendan-kammerer-suspended-for-failure-to-comply-with-arbitration-award2026-04-08 https://mybadbroker.com/brokers/california-broker-chihyu-jerry-hsu-suspended-for-failure-to-provide-information-to-finra2026-04-08 https://mybadbroker.com/brokers/mcap-llc-fined-125000-for-electronic-communications-and-otc-business-supervision-failures2026-04-08 https://mybadbroker.com/brokers/brendan-kammerer-suspended-for-failure-to-comply-with-finra-arbitration-award2026-04-08 https://mybadbroker.com/brokers/florida-broker-william-morris-fined-and-suspended-for-recommending-speculative-bonds-to-senior-customers2026-04-07 https://mybadbroker.com/brokers/wisconsin-broker-frederick-hohensee-fined-and-suspended-for-unsuitable-structured-note-recommendations-to-retirees2026-04-07 https://mybadbroker.com/brokers/iowa-broker-william-tunink-suspended-for-failure-to-provide-information-to-finra2026-04-06 https://mybadbroker.com/brokers/california-broker-william-song-suspended-for-failure-to-provide-information-to-finra2026-04-06 https://mybadbroker.com/brokers/texas-broker-francisco-gomez-suspended-for-failure-to-provide-information-to-finra2026-04-06 https://mybadbroker.com/brokers/california-broker-patrick-roraff-barred-for-failure-to-provide-information-to-finra2026-04-06 https://mybadbroker.com/brokers/louisiana-broker-paul-snow-suspended-for-undisclosed-account-conversion-and-unauthorized-discretion2026-04-06 https://mybadbroker.com/brokers/j-p-morgan-securities-fined-3-25-million-for-supervisory-failures-in-registered-representatives-accounts2026-04-06 https://mybadbroker.com/brokers/great-point-capital-fined-250000-for-manipulative-trading-surveillance-and-email-supervision-failures2026-04-06 https://mybadbroker.com/brokers/houston-broker-mark-sorrell-suspended-nine-months-for-issuing-false-proof-of-funds-letters2026-04-02 https://mybadbroker.com/brokers/ameriprise-financial-services-fined-450000-over-variable-annuity-exchange-supervision-failures2026-04-02 https://mybadbroker.com/brokers/cambridge-investment-research-fined-150000-for-variable-annuity-exchange-oversight-failures2026-04-01 https://mybadbroker.com/brokers/chapin-davis-fined-45000-for-net-capital-deficiencies-inaccurate-focus-reports-and-reg-bi-supervision-failures2026-03-31 https://mybadbroker.com/brokers/ryan-mitchell-pigg-suspended-from-securities-industry-for-failure-to-provide-required-finra-information2026-03-30 https://mybadbroker.com/brokers/william-steven-cooke-barred-for-refusing-to-cooperate-with-finra-investigation-into-unauthorized-trades2026-03-30 https://mybadbroker.com/brokers/michael-barrows-suspended-from-securities-industry-for-failure-to-pay-finra-dues-and-fees2026-03-27 https://mybadbroker.com/brokers/joshua-aaron-dean-barred-from-securities-industry-for-failure-to-provide-required-information-to-finra2026-03-27 https://mybadbroker.com/brokers/hanspeter-schiegg-suspended-from-securities-industry-for-failure-to-provide-information-to-finra2026-03-26 https://mybadbroker.com/brokers/fundit-inc-expelled-from-finra-for-failure-to-provide-required-regulatory-information2026-03-26 https://mybadbroker.com/brokers/james-edward-mcarthur-suspended-for-failure-to-comply-with-finra-arbitration-award2026-03-25 https://mybadbroker.com/brokers/vincent-jerome-camarda-suspended-for-failure-to-comply-with-finra-arbitration-award2026-03-25 https://mybadbroker.com/brokers/btig-fined-600000-for-failing-to-preserve-off-channel-business-communications2026-03-25 https://mybadbroker.com/brokers/timothy-james-gardner-suspended-for-failure-to-comply-with-finra-arbitration-award2026-03-24 https://mybadbroker.com/brokers/aegis-capital-fined-400000-for-regulation-m-notification-failures-and-inaccurate-corrective-disclosures2026-03-24 https://mybadbroker.com/brokers/fernando-mendez-suspended-from-securities-industry-for-failure-to-comply-with-finra-information-requirements2026-03-23 https://mybadbroker.com/brokers/anthony-sica-barred-for-refusing-to-appear-for-finra-on-the-record-testimony2026-03-20 https://mybadbroker.com/brokers/stash-capital-fined-450000-for-customer-identification-and-aml-compliance-failures2026-03-20 https://mybadbroker.com/brokers/avinesh-k-shankar-barred-for-forging-customer-signatures-to-collect-over-511000-in-unauthorized-commissions2026-03-19 https://mybadbroker.com/brokers/joshua-ethan-scholnick-barred-for-cheating-on-securities-industry-essentials-examination2026-03-18 https://mybadbroker.com/brokers/roger-allan-roemmich-barred-for-refusing-to-produce-documents-in-finra-investigation2026-03-18 https://mybadbroker.com/brokers/finra-charges-spartan-capital-securities-and-principals-with-defrauding-customers-in-ipo-share-scheme2026-03-17 https://mybadbroker.com/brokers/alpaca-securities-fined-300000-for-untimely-trade-reporting-and-inaccurate-trade-data2026-03-17 https://mybadbroker.com/brokers/justin-kim-barred-from-securities-industry-for-refusing-to-provide-information-to-finra2026-03-16 https://mybadbroker.com/brokers/vectorglobal-wmg-fined-200000-for-failing-to-supervise-regulation-s-securities-transactions2026-03-16 https://mybadbroker.com/brokers/ultima-global-markets-fined-100000-for-aml-program-failures-in-low-priced-securities-correspondent-accounts2026-03-16 https://mybadbroker.com/brokers/arcadia-securities-fined-40000-for-net-capital-deficiencies-in-firm-commitment-underwritings2026-03-12 https://mybadbroker.com/brokers/keith-wesley-schongar-suspended-from-securities-industry-for-failure-to-provide-information-to-finra2026-03-09 https://mybadbroker.com/brokers/robert-leroy-metz-suspended-for-failure-to-provide-information-required-by-finra2026-03-09 https://mybadbroker.com/brokers/william-kershaw-suspended-for-failure-to-provide-information-to-finra-pursuant-to-rule-95522026-03-09 https://mybadbroker.com/brokers/finra-files-complaint-against-james-fredrick-tighe-for-impeding-investigation-into-client-account-misconduct2026-03-09 https://mybadbroker.com/brokers/lester-joel-hochler-fined-5000-and-suspended-for-failing-to-supervise-speculative-investment-recommendations2026-03-06 https://mybadbroker.com/brokers/canaccord-genuity-fined-20-million-for-widespread-trade-surveillance-aml-and-best-execution-failures2026-03-06 https://mybadbroker.com/brokers/danish-rauf-barred-for-refusing-to-cooperate-with-finra-investigation-into-undisclosed-outside-business-activity2026-03-04 https://mybadbroker.com/brokers/david-nathan-cohen-barred-for-refusing-to-testify-in-finra-investigation-into-customer-fund-misappropriation2026-03-03 https://mybadbroker.com/brokers/herold-lantern-investments-fined-125000-for-anti-money-laundering-program-failures-in-low-priced-securities2026-03-03 https://mybadbroker.com/brokers/finra-charges-reid-rudiger-llc-and-brokers-with-churning-and-excessive-trading-in-customer-accounts2026-03-02 https://mybadbroker.com/brokers/tradier-brokerage-fined-75000-for-failing-to-report-hundreds-of-customer-complaints-to-finra2026-03-02 https://mybadbroker.com/brokers/benjamin-f-edwards-company-fined-750000-for-text-message-supervision-and-record-retention-failures2026-01-30 https://mybadbroker.com/brokers/christian-gonzalez-suspended-for-structuring-cash-deposits-to-evade-federal-reporting-requirements2026-01-29 https://mybadbroker.com/brokers/aegis-capital-corp-fined-375000-for-private-placement-solicitation-violations-and-research-coverage-failures2026-01-29 https://mybadbroker.com/brokers/mark-elliot-paverman-suspended-12-months-for-false-finra-certification-and-record-keeping-failures2026-01-28 https://mybadbroker.com/brokers/edwin-barkhordarian-barred-by-finra-for-failure-to-provide-information2026-01-27 https://mybadbroker.com/brokers/flair-portal-llc-expelled-by-finra-for-failure-to-provide-information2026-01-27 https://mybadbroker.com/brokers/robert-wylie-goff-suspended-for-unauthorized-discretionary-trading-in-customer-accounts2026-01-27 https://mybadbroker.com/brokers/the-gms-group-fined-35000-for-reg-bi-and-form-crs-compliance-failures2026-01-27 https://mybadbroker.com/brokers/independence-capital-co-and-supervisor-sanctioned-for-failing-to-oversee-speculative-bond-sales-to-seniors2026-01-27 https://mybadbroker.com/brokers/patrick-michael-roraff-suspended-by-finra-for-failure-to-provide-information2026-01-26 https://mybadbroker.com/brokers/michael-joseph-whitaker-barred-by-finra-for-failure-to-provide-information2026-01-26 https://mybadbroker.com/brokers/andy-o-okala-barred-by-finra-for-failure-to-provide-information2026-01-26 https://mybadbroker.com/brokers/michael-robert-greenfield-barred-by-finra-for-failure-to-provide-information2026-01-26 https://mybadbroker.com/brokers/lyhen-fiallo-barred-by-finra-for-refusing-investigation-into-customer-borrowing2026-01-26 https://mybadbroker.com/brokers/tpeg-securities-fined-175000-for-misleading-performance-communications-and-complaint-reporting-failures2026-01-26 https://mybadbroker.com/brokers/hugo-hernandez-barred-from-securities-industry-for-refusing-finra-investigation2026-01-23 https://mybadbroker.com/brokers/dealer-solutions-north-america-llc-expelled-by-finra-for-failure-to-provide-information2026-01-22 https://mybadbroker.com/brokers/broker-jonathon-webster-suspended-for-recommending-strategy-that-generated-121000-in-unnecessary-commissions-for-senior-customers2026-01-22 https://mybadbroker.com/brokers/stirlingshire-investments-fined-40000-for-reg-bi-violations-and-non-traditional-etf-supervisory-failures2026-01-22 https://mybadbroker.com/brokers/finra-files-complaint-against-tory-duggins-amid-investigation-into-alleged-churning2026-01-21 https://mybadbroker.com/brokers/virtu-americas-llc-fined-200000-for-deficient-intermarket-sweep-order-routing2026-01-21 https://mybadbroker.com/brokers/sutter-securities-ceo-keith-moore-charged-with-supervisory-failures-in-elderly-customer-trading-case2026-01-20 https://mybadbroker.com/brokers/sutter-securities-charged-with-allowing-excessive-trading-in-89-year-old-customers-accounts2026-01-20 https://mybadbroker.com/brokers/joseph-gordon-nelson-barred-from-securities-industry-for-failure-to-keep-finra-registration-information-current2026-01-20 https://mybadbroker.com/brokers/joshua-aaron-dean-suspended-by-finra-for-failure-to-provide-information2026-01-20 https://mybadbroker.com/brokers/joseph-gordon-nelson-barred-by-finra-for-failure-to-provide-information2026-01-20 https://mybadbroker.com/brokers/matthew-vernon-brosh-barred-by-finra-for-failure-to-provide-information2026-01-20 https://mybadbroker.com/brokers/james-thaddeus-walesa-barred-for-refusing-to-cooperate-with-finra-investigation2026-01-20 https://mybadbroker.com/brokers/fundit-inc-suspended-by-finra-for-failure-to-provide-information2026-01-16 https://mybadbroker.com/brokers/cetera-firms-fined-1-1-million-for-aml-failures-and-supervisory-deficiencies-in-low-priced-securities-and-consolidated-reports2026-01-16 https://mybadbroker.com/brokers/abn-amro-capital-markets-fined-for-operating-below-minimum-net-capital-and-filing-inaccurate-regulatory-reports2026-01-16 https://mybadbroker.com/brokers/finra-charges-boustead-securities-and-sutter-securities-with-alleged-aml-and-supervisory-failures2026-01-15 https://mybadbroker.com/brokers/jay-deron-zornes-barred-by-finra-for-refusing-to-cooperate-with-investigation2026-01-13 https://mybadbroker.com/brokers/nana-kwame-kwakye-bissah-barred-after-discharge-for-misusing-customers-personal-information2026-01-13 https://mybadbroker.com/brokers/jeffrey-galvani-and-stuart-jeffery-barred-from-securities-industry-for-refusing-finra-testimony2026-01-12 https://mybadbroker.com/brokers/bnp-paribas-securities-fined-125000-for-failures-in-large-options-position-reporting2026-01-12 https://mybadbroker.com/brokers/eduardo-leon-jr-suspended-for-borrowing-750000-from-customer-without-firm-approval2026-01-09 https://mybadbroker.com/brokers/andrew-stephen-mogol-suspended-for-check-kiting-in-brokerage-account2026-01-08 https://mybadbroker.com/brokers/william-kielczewski-fined-and-suspended-for-undisclosed-private-securities-transactions-and-misleading-form-u4-filings2026-01-08 https://mybadbroker.com/brokers/wells-fargo-clearing-services-fined-1-25-million-for-municipal-securities-settlement-failures2026-01-08 https://mybadbroker.com/brokers/bny-mellon-capital-markets-fined-60000-for-deficient-municipal-securities-transaction-reporting2026-01-08 https://mybadbroker.com/brokers/steven-a-pusterla-barred-by-finra-for-failure-to-provide-information2026-01-05 https://mybadbroker.com/brokers/justin-a-parker-suspended-30-days-for-unauthorized-tender-offer-participation2025-12-31 https://mybadbroker.com/brokers/joseph-edward-oshea-jr-barred-for-refusing-to-testify-in-excessive-trading-investigation2025-12-31 https://mybadbroker.com/brokers/standard-chartered-securities-fined-95000-for-late-trace-reporting2025-12-31 https://mybadbroker.com/brokers/guy-patrick-young-suspended-one-month-for-sharing-confidential-customer-information2025-12-30 https://mybadbroker.com/brokers/david-john-taddeo-suspended-four-months-for-selling-away-and-settling-customer-complaints2025-12-30 https://mybadbroker.com/brokers/wilfredo-felix-jr-bar-upheld-by-appeals-court-for-failure-to-produce-firm-records2025-12-30 https://mybadbroker.com/brokers/vsi-securities-fined-20000-for-form-crs-disclosure-failures2025-12-30 https://mybadbroker.com/brokers/penserra-securities-fined-40000-for-inaccurate-trade-confirmations2025-12-30 https://mybadbroker.com/brokers/a-g-p-alliance-global-partners-fined-145000-for-regulation-m-notification-failures2025-12-30 https://mybadbroker.com/brokers/ronald-ray-botello-suspended-three-months-for-unapproved-borrowing-from-senior-customers2025-12-29 https://mybadbroker.com/brokers/sogotrade-fined-75000-for-market-access-control-deficiencies2025-12-29 https://mybadbroker.com/brokers/carter-terry-company-fined-75000-and-ordered-to-pay-176590-in-restitution-for-uit-supervision-failures2025-12-24 https://mybadbroker.com/brokers/william-noel-girasole-suspended-two-months-for-forging-electronic-signatures-on-insurance-applications2025-12-23 https://mybadbroker.com/brokers/the-benchmark-company-fined-65000-for-trade-through-violations2025-12-23 https://mybadbroker.com/brokers/kipling-jones-co-and-robbi-julene-jones-sanctioned-for-books-and-records-violations-and-misleading-finra2025-12-22 https://mybadbroker.com/brokers/osaic-institutions-fined-650000-for-anti-money-laundering-program-deficiencies2025-12-22 https://mybadbroker.com/brokers/digital-brokerage-services-fined-85000-for-misleading-crypto-communications2025-12-22 https://mybadbroker.com/brokers/credit-suisse-securities-fined-7-125-million-for-surveillance-system-failures2025-12-22 https://mybadbroker.com/brokers/ejiro-ode-okuma-barred-for-refusing-to-provide-information-in-elder-abuse-investigation2025-12-19 https://mybadbroker.com/brokers/mundial-financial-group-fined-100000-for-registration-and-aml-violations2025-12-19 https://mybadbroker.com/brokers/bofa-securities-fined-225000-for-rule-606-reporting-violations2025-12-19 https://mybadbroker.com/brokers/charles-henry-garrido-suspended-three-months-for-unauthorized-discretion-and-off-channel-communications2025-12-17 https://mybadbroker.com/brokers/keith-michael-dagostino-suspended-two-years-for-unsuitable-low-priced-securities-recommendations-to-seniors2025-12-17 https://mybadbroker.com/brokers/clear-street-llc-fined-175000-for-options-order-origin-code-violations2025-12-17 https://mybadbroker.com/brokers/spartan-capital-securities-and-principals-charged-with-widespread-churning-and-fraud2025-12-15 https://mybadbroker.com/brokers/christopher-cacace-suspended-30-days-for-inadequate-supervision-of-excessive-trading2025-12-15 https://mybadbroker.com/brokers/ali-f-chehab-barred-for-failure-to-provide-information-in-misconduct-investigation2025-12-15 https://mybadbroker.com/brokers/richard-stanislaus-routie-barred-for-refusing-to-testify-in-customer-borrowing-investigation2025-12-12 https://mybadbroker.com/brokers/ryan-wesley-davis-barred-for-refusing-to-testify-in-private-securities-transaction-investigation2025-12-12 https://mybadbroker.com/brokers/brian-boyer-davis-barred-for-refusing-to-testify-in-private-securities-transaction-investigation2025-12-12 https://mybadbroker.com/brokers/kingswood-capital-partners-fined-150000-for-alternative-investment-supervision-failures2025-12-12 https://mybadbroker.com/brokers/sam-calvin-nevels-suspended-four-months-for-taking-confidential-firm-information2025-12-11 https://mybadbroker.com/brokers/eric-a-fiallo-barred-for-failure-to-provide-information-in-borrowing-investigation2025-12-11 https://mybadbroker.com/brokers/flow-traders-fined-75000-for-trace-reporting-violations2025-12-11 https://mybadbroker.com/brokers/paul-richard-meyer-suspended-six-weeks-for-exercising-unauthorized-discretion2025-12-10 https://mybadbroker.com/brokers/kyle-ray-critcher-suspended-three-months-for-negligently-misrepresenting-corporate-bonds-as-fdic-insured2025-12-10 https://mybadbroker.com/brokers/moomoo-financial-fined-125000-for-large-options-positions-reporting-failures2025-12-10 https://mybadbroker.com/brokers/jennifer-h-ceterko-barred-for-failure-to-cooperate-with-finra-investigation2025-12-09 https://mybadbroker.com/brokers/william-klatoff-weinstein-barred-for-failure-to-provide-information2025-12-08 https://mybadbroker.com/brokers/douglas-john-mccauley-barred-for-failure-to-provide-information2025-12-08 https://mybadbroker.com/brokers/roger-daniel-follis-suspended-45-days-for-off-channel-communications-with-customer2025-12-05 https://mybadbroker.com/brokers/j-alden-associates-fined-40000-for-net-capital-violations2025-12-05 https://mybadbroker.com/brokers/navaid-financial-services-fined-35000-for-municipal-securities-reporting-violations2025-12-03 https://mybadbroker.com/brokers/charles-jerry-lewis-jr-suspended-one-month-for-submitting-fictitious-expense-claims2025-12-02 https://mybadbroker.com/brokers/barclays-capital-inc-fined-325000-for-outside-brokerage-account-supervision-failures2025-12-02 https://mybadbroker.com/brokers/intesa-sanpaolo-imi-securities-corp-fined-125000-for-trace-reporting-failures2025-12-01 https://mybadbroker.com/brokers/christopher-ziogas-barred-for-refusing-to-respond-to-finra-investigation2025-11-26 https://mybadbroker.com/brokers/bmo-capital-markets-fined-300000-for-trace-reporting-violations2025-11-26 https://mybadbroker.com/brokers/spartan-capital-securities-complaint-kim-marie-monchik-alleged-supervisory-failures2025-11-24 https://mybadbroker.com/brokers/spartan-capital-securities-complaint-alleged-reg-bi-violations-and-fraud2025-11-24 https://mybadbroker.com/brokers/timothy-richard-jones-suspended-for-making-unfunded-transfers-to-credit-card2025-11-24 https://mybadbroker.com/brokers/james-eugene-holmes-iii-suspended-for-unsuitable-options-trading-and-unauthorized-discretion2025-11-24 https://mybadbroker.com/brokers/virtu-americas-fined-675000-for-risk-management-control-failures2025-11-21 https://mybadbroker.com/brokers/nomura-securities-fined-625000-for-regulation-sho-violations2025-11-21 https://mybadbroker.com/brokers/laidlaw-company-fined-200000-for-net-capital-violations-and-escrow-failures-22025-11-20 https://mybadbroker.com/brokers/gustave-james-schmidt-jr-complaint-alleged-undisclosed-compensation-and-reg-bi-violations2025-11-20 https://mybadbroker.com/brokers/laidlaw-company-fined-200000-for-net-capital-violations-and-escrow-failures2025-11-20 https://mybadbroker.com/brokers/james-daniel-lang-suspended-for-multiple-undisclosed-outside-business-activities2025-11-19 https://mybadbroker.com/brokers/luis-s-jean-bart-suspended-10-months-for-delayed-responses-to-finra2025-11-19 https://mybadbroker.com/brokers/mark-allen-carter-suspended-9-months-for-excessive-options-trading-violating-reg-bi2025-11-19 https://mybadbroker.com/brokers/deutsche-bank-securities-fined-2-5-million-for-research-report-disclosure-failures2025-11-19 https://mybadbroker.com/brokers/barry-luther-buchholz-suspended-for-unauthorized-trading-in-customer-accounts2025-11-18 https://mybadbroker.com/brokers/oakwood-capital-securities-fined-20000-for-failing-to-surveil-variable-annuity-exchanges2025-11-18 https://mybadbroker.com/brokers/evan-von-scales-suspended-for-undisclosed-outside-business-activity2025-11-17 https://mybadbroker.com/brokers/robert-galloway-suspended-for-falsifying-expense-reports2025-11-17 https://mybadbroker.com/brokers/thomas-gregory-scheiman-suspended-for-unsuitable-bond-recommendation-violating-reg-bi2025-11-17 https://mybadbroker.com/brokers/stephen-michael-franko-suspended-for-unsuitable-bond-recommendations-violating-reg-bi2025-11-17 https://mybadbroker.com/brokers/michael-cheng-ning-barred-for-failing-to-produce-documents-as-custodian2025-11-17 https://mybadbroker.com/brokers/ricky-allen-mcreynolds-suspended-for-failure-to-provide-information-to-finra2025-11-14 https://mybadbroker.com/brokers/peter-james-fetherston-decision-appealed-incomplete-response-to-finra2025-11-14 https://mybadbroker.com/brokers/kirk-james-crossen-complaint-alleged-borrowing-from-customer-trust2025-11-11 https://mybadbroker.com/brokers/d-allen-blankenship-decision-appealed-unsuitable-mutual-fund-trading2025-11-10 https://mybadbroker.com/brokers/ibrahim-ethem-kurtulus-suspended-for-undisclosed-outside-securities-accounts2025-11-10 https://mybadbroker.com/brokers/jacob-lee-harper-suspended-22-months-for-borrowing-from-customers-and-multiple-violations2025-11-10 https://mybadbroker.com/brokers/ronald-g-smith-barred-for-refusing-to-provide-information-to-finra2025-11-10 https://mybadbroker.com/brokers/piper-sandler-fined-95000-for-inaccurate-rule-606-reports-and-material-aspects-disclosures2025-11-10 https://mybadbroker.com/brokers/jeremiah-edward-householder-suspended-for-undisclosed-outside-business-activity2025-11-07 https://mybadbroker.com/brokers/wedbush-securities-fined-150000-for-customer-protection-and-disclosure-violations2025-11-07 https://mybadbroker.com/brokers/first-trust-portfolios-fined-10-million-for-excessive-gifts-and-entertainment2025-11-04 https://mybadbroker.com/brokers/michael-joseph-schmidt-suspended-for-false-entries-in-journaling-system2025-11-04 https://mybadbroker.com/brokers/sg-americas-securities-fined-90000-for-inaccurate-rule-606-reports2025-11-04 https://mybadbroker.com/brokers/ana-maria-dimco-barred-for-misusing-firm-funds-and-failing-to-respond-to-finra2025-11-03 https://mybadbroker.com/brokers/john-e-pelletier-suspended-for-unauthorized-transactions-in-customer-account2025-10-31 https://mybadbroker.com/brokers/eric-brian-kleiner-barred-from-securities-industry2025-10-31 https://mybadbroker.com/brokers/supreme-alliance-fined-80000-for-variable-annuity-supervision-failures2025-10-31 https://mybadbroker.com/brokers/interactive-brokers-fined-150000-for-market-data-display-violations2025-10-31 https://mybadbroker.com/brokers/jose-luis-centeno-suspended-for-falsifying-exception-report-reviews2025-10-30 https://mybadbroker.com/brokers/george-ndifor-jing-barred-for-refusing-to-cooperate-with-investigation2025-10-30 https://mybadbroker.com/brokers/james-sunghoon-kim-suspended-for-failure-to-pay-arbitration-award2025-10-29 https://mybadbroker.com/brokers/cibc-world-markets-fined-425000-for-options-position-reporting-failures2025-10-29 https://mybadbroker.com/brokers/anna-marie-verzosa-barred-for-failure-to-provide-information2025-10-28 https://mybadbroker.com/brokers/geraldine-card-maxfield-suspended-for-failure-to-pay-arbitration-award2025-10-27 https://mybadbroker.com/brokers/steven-a-pusterla-suspended-for-failure-to-provide-information2025-10-27 https://mybadbroker.com/brokers/george-stratis-barred-for-failure-to-provide-information2025-10-27 https://mybadbroker.com/brokers/independent-financial-group-fined-100000-for-permitting-suspended-representative-to-trade2025-10-27 https://mybadbroker.com/brokers/bofa-securities-fined-450000-for-trade-through-violations2025-10-27 https://mybadbroker.com/brokers/avenue-securities-fined-100000-for-inaccurate-customer-confirmations2025-10-27 https://mybadbroker.com/brokers/jessica-quiroz-barred-for-refusing-finra-testimony2025-10-24 https://mybadbroker.com/brokers/vision-financial-markets-fined-250000-for-reserve-calculation-failures2025-10-24 https://mybadbroker.com/brokers/jose-abel-gamez-barred-for-refusing-to-cooperate-with-investigation2025-10-23 https://mybadbroker.com/brokers/puente-servicios-financieros-fined-20000-for-mark-up-disclosure-failures2025-10-23 https://mybadbroker.com/brokers/j-k-financial-services-fined-65000-for-multiple-compliance-failures2025-10-22 https://mybadbroker.com/brokers/brandon-v-spano-suspended-for-undisclosed-real-estate-business-with-customer2025-10-21 https://mybadbroker.com/brokers/david-kitchen-franklin-barred-from-securities-industry2025-10-21 https://mybadbroker.com/brokers/barclays-capital-fined-150000-for-ipo-underwriting-violations2025-10-21 https://mybadbroker.com/brokers/kevin-tong-you-barred-for-failure-to-provide-information2025-10-20 https://mybadbroker.com/brokers/alexander-investment-services-fined-25000-for-regulation-best-interest-compliance-failures2025-10-20 https://mybadbroker.com/brokers/aegis-capital-corp-fined-275000-for-books-and-records-violations2025-10-17 https://mybadbroker.com/brokers/shane-robert-niederer-suspended-for-failure-to-pay-arbitration-award2025-10-16 https://mybadbroker.com/brokers/robert-david-bienvenu-barred-for-refusing-to-provide-information-to-finra2025-10-16 https://mybadbroker.com/brokers/richard-james-wick-suspended-for-failure-to-provide-information2025-10-14 https://mybadbroker.com/brokers/nexpoint-securities-fined-50000-for-net-capital-deficiencies2025-10-14 https://mybadbroker.com/brokers/robert-james-hoefel-suspended-for-failure-to-pay-arbitration-award2025-10-13 https://mybadbroker.com/brokers/amy-fulghum-suspended-for-forging-customer-signatures2025-10-13 https://mybadbroker.com/brokers/krista-ann-stamper-suspended-for-failure-to-pay-arbitration-award2025-10-10 https://mybadbroker.com/brokers/frey-d-pena-perez-barred-for-failure-to-provide-information2025-10-10 https://mybadbroker.com/brokers/jim-carl-dedmon-jr-barred-for-failure-to-provide-information2025-10-10 https://mybadbroker.com/brokers/kevin-n-jenkins-suspended-for-private-securities-transactions-and-oba-violations2025-10-10 https://mybadbroker.com/brokers/thomas-stewart-lanier-suspended-for-failure-to-pay-arbitration-award2025-10-09 https://mybadbroker.com/brokers/brian-michael-moran-suspended-from-finop-role-for-net-capital-violations2025-10-09 https://mybadbroker.com/brokers/efg-capital-international-fined-650000-for-anti-money-laundering-failures2025-10-09 https://mybadbroker.com/brokers/eyan-michael-townsend-suspended-one-year-for-deleting-business-communications2025-10-08 https://mybadbroker.com/brokers/ally-invest-securities-fined-850000-for-failing-to-preserve-customer-communications2025-10-08 https://mybadbroker.com/brokers/torch-securities-llc-cancelled-for-failure-to-pay-finra-dues-and-fees2025-10-07 https://mybadbroker.com/brokers/timothy-daniel-curran-suspended-for-taking-customer-information-to-new-firm2025-10-07 https://mybadbroker.com/brokers/national-bank-of-canada-financial-fined-70000-for-trade-reporting-violations2025-10-07 https://mybadbroker.com/brokers/christian-yavier-gomez-suspended-for-failure-to-provide-information2025-10-06 https://mybadbroker.com/brokers/jihoon-park-barred-for-failure-to-provide-information2025-10-06 https://mybadbroker.com/brokers/antaun-cyril-lewis-barnett-suspended-for-misusing-firm-funds2025-10-03 https://mybadbroker.com/brokers/james-edward-mcarthur-suspended-for-failure-to-pay-arbitration-awards2025-10-02 https://mybadbroker.com/brokers/vincent-jerome-camarda-suspended-for-failure-to-pay-arbitration-award2025-10-02 https://mybadbroker.com/brokers/leah-renee-ruark-suspended-for-forging-customer-signatures2025-10-02 https://mybadbroker.com/brokers/synovus-securities-fined-315000-for-electronic-signature-forgery-failures2025-10-02 https://mybadbroker.com/brokers/hoopoe-capital-markets-fined-20000-for-private-placement-filing-failures2025-10-02 https://mybadbroker.com/brokers/jeffrey-roy-schuur-suspended-for-unsuitable-variable-annuity-exchanges2025-10-01 https://mybadbroker.com/brokers/william-coppa-suspended-and-fined-10000-for-falsifying-trade-records2025-10-01 https://mybadbroker.com/brokers/george-john-cairnes-suspended-for-undisclosed-outside-business-activity2025-10-01 https://mybadbroker.com/brokers/cash-app-investing-fined-375000-for-customer-data-security-failure2025-10-01 https://mybadbroker.com/brokers/canaccord-genuity-wealth-management-fined-75000-for-supervisory-failures2025-10-01 https://mybadbroker.com/brokers/luke-lannister-suspended-two-months-for-unauthorized-discretion2025-09-30 https://mybadbroker.com/brokers/john-n-girgis-barred-for-refusing-to-provide-testimony2025-09-30 https://mybadbroker.com/brokers/velocity-clearing-fined-1-million-for-failing-to-detect-manipulative-trading2025-09-30 https://mybadbroker.com/brokers/united-capital-markets-fined-25000-for-supervisory-and-communication-failures2025-09-30 https://mybadbroker.com/brokers/wood-arthur-w-company-expelled-for-failure-to-provide-information2025-09-29 https://mybadbroker.com/brokers/jorey-t-bernstein-barred-for-refusing-to-provide-documents2025-09-29 https://mybadbroker.com/brokers/stockpile-investments-fined-50000-for-misleading-crypto-communications2025-09-29 https://mybadbroker.com/brokers/interactive-brokers-fined-125000-for-municipal-bond-disclosure-failures2025-09-29 https://mybadbroker.com/brokers/brian-james-pavelko-charged-with-failing-to-comply-with-finra-requests2025-09-25 https://mybadbroker.com/brokers/td-ameritrade-firms-fined-550000-for-trade-reporting-failures2025-09-24 https://mybadbroker.com/brokers/sean-t-sullivan-charged-with-unauthorized-trading2025-09-23 https://mybadbroker.com/brokers/clark-james-kline-suspended-two-years-for-causing-negative-brokerage-balance2025-09-22 https://mybadbroker.com/brokers/fundit-inc-suspended-for-failure-to-provide-information2025-09-18 https://mybadbroker.com/brokers/carol-lynn-abdo-brownsberger-suspended-six-months-for-inaccurate-statements2025-09-18 https://mybadbroker.com/brokers/anz-securities-fined-50000-for-trace-reporting-violations2025-09-18 https://mybadbroker.com/brokers/oak-hills-securities-fined-125000-for-private-placement-violations2025-09-17 https://mybadbroker.com/brokers/thomas-john-lykos-jr-suspension-affirmed-for-exam-misconduct2025-09-16 https://mybadbroker.com/brokers/gregory-lawrence-jacobs-barred-for-refusing-to-provide-documents2025-09-16 https://mybadbroker.com/brokers/harry-harper-warnick-barred-for-failing-to-provide-information-to-finra2025-09-15 https://mybadbroker.com/brokers/wyman-sai-barred-for-refusing-to-provide-testimony2025-09-12 https://mybadbroker.com/brokers/madison-global-partners-fined-20000-for-net-capital-violations2025-09-12 https://mybadbroker.com/brokers/joshua-ethan-scholnick-charged-with-cheating-on-sie-examination2025-09-10 https://mybadbroker.com/brokers/jefferies-llc-fined-1-million-for-reserve-calculation-errors2025-09-10 https://mybadbroker.com/brokers/maximiliano-ramirez-suspended-for-undisclosed-outside-business-activity2025-09-08 https://mybadbroker.com/brokers/willnard-edwrence-love-barred-for-falsifying-exam-results2025-09-08 https://mybadbroker.com/brokers/woodside-capital-securities-fined-30000-for-principal-and-aml-deficiencies2025-09-08 https://mybadbroker.com/brokers/andrew-buckanavage-barred-for-converting-177962-from-employer2025-09-03 https://mybadbroker.com/brokers/madison-avenue-securities-fined-125000-for-inaccurate-consolidated-reports2025-09-03 https://mybadbroker.com/brokers/nathan-reed-waters-suspended-for-failure-to-provide-information2025-08-29 https://mybadbroker.com/brokers/joseph-warner-rozof-suspended-for-discretionary-trading-and-off-channel-communications2025-08-29 https://mybadbroker.com/brokers/mark-elliot-paverman-and-jeffrey-alan-stanley-charged-with-multiple-violations2025-08-28 https://mybadbroker.com/brokers/lyle-hisaji-uyeda-barred-for-refusing-testimony-in-loan-investigation2025-08-28 https://mybadbroker.com/brokers/j-p-morgan-securities-fined-150000-for-ipo-prospectus-delivery-failures2025-08-26 https://mybadbroker.com/brokers/kathleen-rashleigh-suspended-for-failure-to-provide-information2025-08-25 https://mybadbroker.com/brokers/bernie-mohar-suspended-for-failure-to-provide-information2025-08-25 https://mybadbroker.com/brokers/zachary-ellis-taylor-suspended-for-unsuitable-options-recommendations-to-seniors2025-08-25 https://mybadbroker.com/brokers/philip-leo-gazzo-suspended-for-sharing-commissions-with-unregistered-entity2025-08-25 https://mybadbroker.com/brokers/antonio-molinos-suspended-for-excessive-trading-in-retired-customers-accounts2025-08-22 https://mybadbroker.com/brokers/joseph-kelly-suspended-for-excessive-trading-and-ordered-to-pay-69830-restitution2025-08-22 https://mybadbroker.com/brokers/u-s-bancorp-investments-fined-500000-for-late-suspicious-activity-reports2025-08-22 https://mybadbroker.com/brokers/dennis-daniel-herrera-suspended-for-excessive-trading-and-ordered-to-pay-restitution2025-08-21 https://mybadbroker.com/brokers/william-charles-burks-ii-suspended-for-unsuitable-alternative-investment-recommendations2025-08-21 https://mybadbroker.com/brokers/t3-trading-group-fined-175000-for-rule-606-reporting-failures2025-08-21 https://mybadbroker.com/brokers/navian-capital-securities-fined-40000-for-trace-reporting-violations2025-08-21 https://mybadbroker.com/brokers/interactive-brokers-fined-650000-for-options-trading-approval-failures2025-08-21 https://mybadbroker.com/brokers/william-shane-garrow-barred-for-failure-to-provide-information2025-08-19 https://mybadbroker.com/brokers/jeffrey-kenneth-galvani-and-stuart-a-jeffrey-charged-with-refusing-testimony2025-08-19 https://mybadbroker.com/brokers/anna-marie-verzosa-suspended-for-failure-to-provide-information2025-08-18 https://mybadbroker.com/brokers/george-stratis-suspended-for-failure-to-provide-information2025-08-18 https://mybadbroker.com/brokers/derrick-hostert-suspended-for-falsifying-insurance-claim2025-08-14 https://mybadbroker.com/brokers/pfs-investments-ordered-to-pay-710738-in-restitution-for-mutual-fund-overcharges2025-08-14 https://mybadbroker.com/brokers/stifel-nicolaus-fined-175000-for-rule-606-reporting-violations2025-08-14 https://mybadbroker.com/brokers/brandon-jerome-larsen-suspended-for-unauthorized-discretionary-trading2025-08-13 https://mybadbroker.com/brokers/stephens-inc-fined-90000-for-political-contribution-supervision-failures2025-08-12 https://mybadbroker.com/brokers/noah-dewayne-shaw-barred-for-failure-to-provide-information2025-08-11 https://mybadbroker.com/brokers/mack-leon-miller-suspended-for-excessive-trading-in-senior-customer-accounts2025-08-11 https://mybadbroker.com/brokers/wells-fargo-clearing-services-fined-275000-for-municipal-advisor-supervisory-failures2025-08-11 https://mybadbroker.com/brokers/kevin-tong-you-suspended-for-failure-to-provide-information2025-08-08 https://mybadbroker.com/brokers/james-thaddeus-walesa-charged-with-failing-to-cooperate-with-investigation2025-08-08 https://mybadbroker.com/brokers/simon-michel-joseph-suspended-for-failing-to-disclose-state-regulatory-action2025-08-08 https://mybadbroker.com/brokers/brenton-e-ditto-suspended-for-unsuitable-gnma-bond-recommendation2025-08-08 https://mybadbroker.com/brokers/ruben-rojas-salvador-barred-for-refusing-finra-testimony2025-08-07 https://mybadbroker.com/brokers/nathaniel-edwin-mogollan-barred-for-refusing-finra-testimony2025-08-07 https://mybadbroker.com/brokers/goldman-sachs-fined-250000-for-ipo-conflict-of-interest-and-registration-violations2025-08-07 https://mybadbroker.com/brokers/wilson-davis-co-byron-barkley-and-james-snow-jr-fined-for-short-sale-violations2025-08-07 https://mybadbroker.com/brokers/robert-george-gorham-suspended-for-failure-to-comply-with-arbitration-award2025-08-06 https://mybadbroker.com/brokers/odeon-capital-group-llc-fined-75000-for-prearranged-trading-and-disclosure-failures2025-08-06 https://mybadbroker.com/brokers/ali-f-chehab-charged-with-failing-to-provide-information-to-finra2025-08-05 https://mybadbroker.com/brokers/d-boral-capital-llc-fined-125000-for-net-capital-violations2025-08-05 https://mybadbroker.com/brokers/ramin-nathaniel-abrams-suspended-for-misrepresentations-in-customer-letters2025-08-04 https://mybadbroker.com/brokers/venugopal-reddy-suspended-six-months-for-private-securities-transactions2025-07-29 https://mybadbroker.com/brokers/noble-capital-markets-fined-45000-for-private-placement-supervision-failures2025-07-29 https://mybadbroker.com/brokers/charles-burford-suspended-six-months-for-unauthorized-trades-in-deceased-customers-account2025-07-28 https://mybadbroker.com/brokers/devin-wicker-barred-and-ordered-to-pay-50000-for-converting-customer-funds2025-07-28 https://mybadbroker.com/brokers/meredith-webber-barred-for-failing-to-cooperate-in-elder-misappropriation-investigation2025-07-28 https://mybadbroker.com/brokers/tradestation-securities-fined-85000-for-crypto-related-communication-violations2025-07-25 https://mybadbroker.com/brokers/francis-smith-suspended-one-month-for-false-continuing-education-certification2025-07-24 https://mybadbroker.com/brokers/greenbird-capital-fined-50000-for-private-placement-solicitation-and-telemarketing-failures2025-07-24 https://mybadbroker.com/brokers/andrew-mack-suspended-three-months-for-discretionary-trading-without-authorization2025-07-23 https://mybadbroker.com/brokers/percival-financial-partners-cancelled-for-failure-to-pay-finra-fees2025-07-22 https://mybadbroker.com/brokers/esf-equity-lp-expelled-for-failure-to-provide-information2025-07-22 https://mybadbroker.com/brokers/chad-rogers-suspended-45-days-for-impersonating-customers2025-07-22 https://mybadbroker.com/brokers/donald-spivey-barred-for-refusing-testimony-in-best-interest-investigation2025-07-21 https://mybadbroker.com/brokers/calvin-gray-barred-amid-federal-bank-fraud-charges2025-07-21 https://mybadbroker.com/brokers/integral-wealth-securities-fined-20000-for-late-private-placement-filings2025-07-18 https://mybadbroker.com/brokers/daniel-roper-suspended-two-years-for-profit-sharing-and-discretionary-trading-violations2025-07-17 https://mybadbroker.com/brokers/eric-dupre-barred-for-borrowing-over-2-2-million-from-customers2025-07-17 https://mybadbroker.com/brokers/first-southern-llc-fined-250000-for-reg-bi-and-net-capital-violations2025-07-17 https://mybadbroker.com/brokers/chuck-roberts-barred-for-refusing-additional-testimony-in-structured-products-investigation2025-07-16 https://mybadbroker.com/brokers/shammi-samaroo-barred-for-refusing-to-cooperate-with-finra-investigation2025-07-15 https://mybadbroker.com/brokers/tiffany-keigley-barred-for-failing-to-produce-documents-in-fund-distribution-investigation2025-07-15 https://mybadbroker.com/brokers/ishmael-williams-barred-for-false-statements-to-finra-and-continuing-education-fraud2025-07-14 https://mybadbroker.com/brokers/christopher-matuch-suspended-four-months-for-mismarking-trading-positions2025-07-11 https://mybadbroker.com/brokers/j-p-morgan-securities-fined-350000-and-ordered-to-pay-over-1-8-million-for-syndicate-preferred-stock-supervision-failures2025-07-11 https://mybadbroker.com/brokers/michael-colletti-fined-and-suspended-eight-months-for-unauthorized-trading2025-07-10 https://mybadbroker.com/brokers/investment-placement-group-fined-100000-for-messaging-supervision-failures2025-07-08 https://mybadbroker.com/brokers/cantor-fitzgerald-fined-225000-for-regulation-m-violations2025-07-08 https://mybadbroker.com/brokers/samuel-d-frankfort-suspension-lifted-after-paying-arbitration-award2025-07-08 https://mybadbroker.com/brokers/santiago-torres-barred-for-failing-to-provide-documents-and-testimony2025-07-07 https://mybadbroker.com/brokers/isaak-bond-investments-fined-20000-for-net-capital-violations2025-07-07 https://mybadbroker.com/brokers/brian-richard-baine-suspended-for-signing-customer-documents-without-authorization2025-07-01 https://mybadbroker.com/brokers/brian-baine-suspended-three-months-for-signing-customer-names-without-permission2025-07-01 https://mybadbroker.com/brokers/mohammed-salim-barred-for-refusing-to-testify-in-finra-investigation2025-07-01 https://mybadbroker.com/brokers/brian-richard-baine-suspended-three-months-for-signing-customer-signatures2025-07-01 https://mybadbroker.com/brokers/mohammed-a-salim-barred-from-securities-industry-for-refusing-to-testify2025-07-01 https://mybadbroker.com/brokers/joshua-morgan-pruitt-suspended-for-failure-to-comply-with-arbitration-award2025-06-30 https://mybadbroker.com/brokers/jesus-gabriel-cantu-barred-for-failure-to-provide-information2025-06-30 https://mybadbroker.com/brokers/thomas-sapio-fined-5000-and-suspended-two-months-for-failing-to-supervise-traders-mismarking-positions2025-06-30 https://mybadbroker.com/brokers/paul-xavier-nannicelli-suspended-eight-months-for-circumventing-beneficiary-designation-procedures2025-06-30 https://mybadbroker.com/brokers/shaheen-ladhani-suspended-two-months-for-undisclosed-outside-brokerage-accounts2025-06-30 https://mybadbroker.com/brokers/kim-ray-kunz-suspended-seven-months-for-associating-while-statutorily-disqualified2025-06-30 https://mybadbroker.com/brokers/donald-joe-everhart-suspended-three-months-for-unsuitable-bond-recommendation-under-reg-bi2025-06-30 https://mybadbroker.com/brokers/john-casey-reap-barred-for-failing-to-cooperate-with-municipal-bond-trading-investigation2025-06-30 https://mybadbroker.com/brokers/paige-margarette-putnam-barred-for-refusing-to-cooperate-with-investigation-into-falsified-exam-document2025-06-30 https://mybadbroker.com/brokers/nicholas-stephen-coubrough-barred-for-refusing-to-cooperate-with-off-channel-communications-investigation2025-06-30 https://mybadbroker.com/brokers/courtney-rae-buth-barred-for-failure-to-provide-information2025-06-27 https://mybadbroker.com/brokers/michael-edwin-magruder-barred-for-failing-to-provide-information-in-customer-loan-investigation2025-06-27 https://mybadbroker.com/brokers/southeast-investments-and-frank-harmon-black-fined-73500-for-supervisory-failures2025-06-25 https://mybadbroker.com/brokers/sei-investments-distribution-fined-150000-for-trace-reporting-failures2025-06-24 https://mybadbroker.com/brokers/newedge-securities-fined-125000-for-trace-reporting-violations2025-06-24 https://mybadbroker.com/brokers/synapse-brokerage-expelled-from-finra-for-failure-to-provide-information2025-06-23 https://mybadbroker.com/brokers/mercury-capital-advisors-expelled-from-finra-for-failure-to-provide-information2025-06-23 https://mybadbroker.com/brokers/bingshan-song-fined-25000-and-suspended-for-supervision-failures-and-off-channel-communications2025-06-23 https://mybadbroker.com/brokers/john-timothy-rice-sr-suspended-18-months-and-ordered-to-pay-127549-for-sharing-block-trade-information2025-06-23 https://mybadbroker.com/brokers/mingzhe-du-fined-7500-and-suspended-two-months-for-off-channel-communications2025-06-23 https://mybadbroker.com/brokers/vincent-gilliard-barred-for-refusing-to-provide-testimony-to-finra2025-06-23 https://mybadbroker.com/brokers/jeffrey-alan-arbeit-barred-for-refusing-to-cooperate-with-investigation-into-private-securities-transactions2025-06-23 https://mybadbroker.com/brokers/velox-clearing-fined-1-3-million-for-aml-and-recordkeeping-failures2025-06-23 https://mybadbroker.com/brokers/amber-nicole-cook-suspension-lifted-after-providing-information2025-06-16 https://mybadbroker.com/brokers/amber-nicole-cook-suspended-for-failure-to-provide-information2025-06-16 https://mybadbroker.com/brokers/howard-okeefe-graham-barred-for-failure-to-provide-information2025-06-16 https://mybadbroker.com/brokers/roy-reese-fined-10000-and-suspended-nine-months-for-forwarding-suspected-fraudulent-funds2025-06-16 https://mybadbroker.com/brokers/john-stephen-pronovost-fined-7500-and-suspended-two-months-for-undisclosed-outside-business-activity2025-06-16 https://mybadbroker.com/brokers/nicholas-joseph-lorenzo-fined-5000-and-suspended-nine-months-for-surveillance-supervision-failures2025-06-16 https://mybadbroker.com/brokers/kevin-john-herne-suspended-one-year-and-fined-5000-for-failing-to-disclose-felony-charge2025-06-16 https://mybadbroker.com/brokers/diane-mottola-daly-suspended-12-months-for-aml-and-surveillance-supervision-failures2025-06-16 https://mybadbroker.com/brokers/pnc-investments-fined-200000-for-variable-annuity-exchange-surveillance-failures2025-06-16 https://mybadbroker.com/brokers/colliers-securities-fined-55000-for-municipal-securities-reporting-failures2025-06-16 https://mybadbroker.com/brokers/bennett-knapp-ely-barred-for-failure-to-provide-information2025-06-13 https://mybadbroker.com/brokers/rezwan-mohammed-alam-barred-for-failure-to-provide-information2025-06-13 https://mybadbroker.com/brokers/kwabena-adusei-barred-for-failure-to-provide-information2025-06-13 https://mybadbroker.com/brokers/rialto-markets-fined-50000-for-cybersecurity-failures-leading-to-data-breach2025-06-11 https://mybadbroker.com/brokers/bryan-james-moskowitz-suspended-for-failure-to-comply-with-arbitration-award2025-06-10 https://mybadbroker.com/brokers/gian-carlo-piovanetti-barred-for-failure-to-provide-information2025-06-10 https://mybadbroker.com/brokers/lawerence-nathaniel-parker-barred-for-failure-to-provide-information2025-06-10 https://mybadbroker.com/brokers/jose-anthony-quinones-barred-for-refusing-to-cooperate-with-finra-investigation2025-06-10 https://mybadbroker.com/brokers/evan-pfeuffer-barred-from-securities-industry-for-refusing-to-cooperate-with-finra2025-06-10 https://mybadbroker.com/brokers/kristina-jaymes-hoisington-barred-for-failure-to-provide-information2025-06-09 https://mybadbroker.com/brokers/finra-files-complaint-against-andrew-buckanavage-for-conversion-and-failure-to-testify2025-06-09 https://mybadbroker.com/brokers/sotirios-pappas-suspended-six-months-for-failing-to-disclose-felony-charge-and-judgments2025-06-09 https://mybadbroker.com/brokers/susquehanna-financial-group-fined-100000-for-trace-reporting-deficiencies2025-06-09 https://mybadbroker.com/brokers/ekats-securities-expelled-from-finra-for-failure-to-provide-information2025-06-06 https://mybadbroker.com/brokers/drivewealth-fined-100000-for-customer-account-transfer-delays2025-06-06 https://mybadbroker.com/brokers/finra-files-complaint-against-sebastian-bongiovanni-for-failing-to-comply-with-information-requests2025-06-05 https://mybadbroker.com/brokers/sg-americas-securities-fined-275000-for-trace-reporting-failures2025-06-05 https://mybadbroker.com/brokers/durgesh-rajawat-suspended-for-failure-to-comply-with-arbitration-award2025-06-04 https://mybadbroker.com/brokers/finra-files-complaint-against-michael-cheng-ning-for-failing-to-provide-records2025-06-04 https://mybadbroker.com/brokers/xp-investments-us-fined-185000-for-overstating-advertised-trade-volume2025-06-04 https://mybadbroker.com/brokers/network-1-financial-securities-fined-50000-for-private-placement-supervision-failures2025-06-04 https://mybadbroker.com/brokers/kevin-nowaskey-suspended-for-failure-to-comply-with-arbitration-award2025-06-02 https://mybadbroker.com/brokers/silver-oak-securities-fined-65000-for-consolidated-report-supervision-failures2025-06-02 https://mybadbroker.com/brokers/jody-vander-weide-barred-for-failing-to-provide-information-about-undisclosed-oba2025-05-30 https://mybadbroker.com/brokers/damon-perez-barred-for-refusing-to-provide-information-in-regulatory-tip-investigation2025-05-30 https://mybadbroker.com/brokers/general-securities-corp-fined-for-incomplete-form-crs-disclosures2025-05-30 https://mybadbroker.com/brokers/barclays-capital-fined-2-25-million-for-options-manipulation-surveillance-failures2025-05-29 https://mybadbroker.com/brokers/brian-court-suspended-for-unauthorized-discretionary-trading2025-05-28 https://mybadbroker.com/brokers/firstrade-securities-fined-for-crypto-asset-communication-failures2025-05-28 https://mybadbroker.com/brokers/third500-llc-suspension-for-failure-to-provide-information2025-05-27 https://mybadbroker.com/brokers/jason-rodriguez-suspended-for-failing-to-disclose-felony-charges2025-05-27 https://mybadbroker.com/brokers/open-to-the-public-investing-fined-350000-for-influencer-marketing-violations2025-05-27 https://mybadbroker.com/brokers/andrew-s-walters-suspension-lifted-after-providing-information2025-05-22 https://mybadbroker.com/brokers/maxim-tulupnikoff-suspended-for-unsuitable-limited-partnership-recommendations2025-05-20 https://mybadbroker.com/brokers/kenneth-malm-suspended-for-accepting-1-million-bequest-from-customer2025-05-20 https://mybadbroker.com/brokers/martin-lerner-suspended-for-failing-to-supervise-limited-partnership-sales2025-05-20 https://mybadbroker.com/brokers/daniel-lerner-suspended-for-unsuitable-limited-partnership-sale-to-92-year-old2025-05-20 https://mybadbroker.com/brokers/nicholas-armellino-barred-for-refusing-to-testify-in-regulatory-tip-investigation2025-05-20 https://mybadbroker.com/brokers/calton-associates-fined-for-trade-reporting-and-confirmation-disclosure-failures2025-05-20 https://mybadbroker.com/brokers/aag-capital-fined-and-ordered-to-pay-restitution-for-rila-supervision-failures2025-05-20 https://mybadbroker.com/brokers/david-lerner-associates-suspended-two-years-for-unsuitable-sales-to-seniors2025-05-20 https://mybadbroker.com/brokers/multiple-individuals-suspended-for-failing-to-provide-information-to-finra2025-05-19 https://mybadbroker.com/brokers/wells-fargo-clearing-services-fined-for-customer-information-safeguarding-failures2025-05-19 https://mybadbroker.com/brokers/mdb-capital-fined-for-insider-trading-prevention-deficiencies2025-05-19 https://mybadbroker.com/brokers/jose-navarro-suspended-12-months-for-private-securities-transactions-and-customer-borrowing2025-05-16 https://mybadbroker.com/brokers/todd-leightey-suspended-for-unsuitable-variable-annuity-recommendations2025-05-16 https://mybadbroker.com/brokers/ryan-spencer-barred-for-refusing-to-testify-after-expense-policy-termination2025-05-14 https://mybadbroker.com/brokers/johnathon-sawaged-barred-for-refusing-to-testify-after-termination-for-client-payment-issues2025-05-14 https://mybadbroker.com/brokers/honeycomb-portal-fined-140000-for-crowdfunding-intermediary-violations2025-05-14 https://mybadbroker.com/brokers/btg-pactual-fined-400000-for-anti-money-laundering-deficiencies2025-05-14 https://mybadbroker.com/brokers/david-ravarino-suspended-for-false-outside-business-activity-disclosures2025-05-13 https://mybadbroker.com/brokers/phillip-anderson-suspended-for-unsuitable-bond-recommendations-to-seniors2025-05-13 https://mybadbroker.com/brokers/goldman-sachs-fined-1-45-million-for-cat-reporting-and-trade-accuracy-failures2025-05-13 https://mybadbroker.com/brokers/first-commonwealth-securities-corporation-suspended-for-information-failures2025-05-12 https://mybadbroker.com/brokers/multiple-firms-suspended-for-failing-to-provide-information-to-finra2025-05-12 https://mybadbroker.com/brokers/judah-spinner-suspended-12-months-for-undisclosed-fund-solicitation2025-05-12 https://mybadbroker.com/brokers/kyle-charters-suspended-for-undisclosed-private-securities-transaction2025-05-12 https://mybadbroker.com/brokers/siebert-williams-shank-fined-for-municipal-securities-trade-reporting-failures2025-05-09 https://mybadbroker.com/brokers/joseph-tranchina-suspended-and-ordered-to-pay-restitution-for-excessive-trading2025-05-08 https://mybadbroker.com/brokers/nicholas-schiano-suspended-for-excessive-trading-in-senior-customers-accounts2025-05-08 https://mybadbroker.com/brokers/natalie-pham-suspended-12-months-for-mortgage-loan-fraud2025-05-08 https://mybadbroker.com/brokers/eduardo-leon-jr-suspended-for-unsuitable-volatility-product-and-bond-recommendations2025-05-08 https://mybadbroker.com/brokers/nicholas-stovall-barred-for-undisclosed-private-securities-transactions-in-fraudulent-scheme2025-05-08 https://mybadbroker.com/brokers/webull-financial-fined-1-6-million-for-social-media-influencer-and-compliance-failures2025-05-08 https://mybadbroker.com/brokers/global-financial-services-fined-for-reg-bi-and-concentration-supervision-failures2025-05-08 https://mybadbroker.com/brokers/joseph-steward-suspended-for-excessive-trading-in-customer-account2025-05-06 https://mybadbroker.com/brokers/multiple-individuals-barred-for-failing-to-provide-information-to-finra2025-05-05 https://mybadbroker.com/brokers/frank-lumpuy-suspended-for-undisclosed-outside-business-activities2025-05-05 https://mybadbroker.com/brokers/ariel-a-rivero-registration-revoked-for-failure-to-pay-fines2025-05-02 https://mybadbroker.com/brokers/ariel-rivero-registration-revoked-for-failure-to-pay-fines2025-05-02 https://mybadbroker.com/brokers/tejinder-singh-charged-with-failing-to-cooperate-in-ppp-loan-investigation2025-05-02 https://mybadbroker.com/brokers/silver-leaf-partners-appeals-sec-decision-on-payments-to-non-members2025-05-02 https://mybadbroker.com/brokers/robert-fort-suspended-for-late-disclosure-of-felony-charge2025-05-01 https://mybadbroker.com/brokers/john-fendrich-jr-suspended-and-ordered-to-pay-restitution-for-excessive-trading2025-05-01 https://mybadbroker.com/brokers/anthony-saab-barred-for-refusing-to-cooperate-in-alternative-investment-investigation2025-05-01 https://mybadbroker.com/brokers/mario-martinez-barred-for-failing-to-provide-information-in-loan-investigation2025-05-01 https://mybadbroker.com/brokers/pinnacle-investments-fined-for-nt-etp-supervision-and-branch-inspection-failures2025-05-01 https://mybadbroker.com/brokers/thomas-vigil-suspended-12-months-for-unsuitable-annuity-recommendations2025-04-29 https://mybadbroker.com/brokers/alton-raney-ii-barred-for-refusing-to-testify-after-termination-for-mutual-fund-trading-concerns2025-04-29 https://mybadbroker.com/brokers/robert-meyer-barred-for-refusing-to-testify-in-continuing-education-investigation2025-04-29 https://mybadbroker.com/brokers/interactive-brokers-fined-400000-for-reporting-failures2025-04-29 https://mybadbroker.com/brokers/three-individuals-barred-for-failing-to-provide-information-to-finra2025-04-28 https://mybadbroker.com/brokers/tradeup-securities-and-us-tiger-securities-fined-for-aml-failures2025-04-25 https://mybadbroker.com/brokers/meredith-webber-charged-with-failing-to-cooperate-in-misappropriation-investigation2025-04-24 https://mybadbroker.com/brokers/kimberly-sorrow-barred-for-converting-funds-from-fraudulent-checks2025-04-24 https://mybadbroker.com/brokers/james-burton-jr-barred-for-failing-to-provide-documents-in-crypto-investigation2025-04-24 https://mybadbroker.com/brokers/regulus-financial-group-fined-for-incomplete-form-crs-disclosures2025-04-24 https://mybadbroker.com/brokers/david-wong-appeals-bar-for-converting-customer-funds2025-04-23 https://mybadbroker.com/brokers/brian-roth-suspended-for-undisclosed-customer-loan2025-04-22 https://mybadbroker.com/brokers/kyle-kim-suspended-for-undisclosed-outside-business-activity2025-04-22 https://mybadbroker.com/brokers/scot-barringer-suspended-for-unsuitable-bond-recommendations2025-04-22 https://mybadbroker.com/brokers/speedroute-llc-fined-300000-for-market-access-and-aml-failures2025-04-22 https://mybadbroker.com/brokers/american-trust-investment-services-fined-100000-and-ordered-to-pay-restitution2025-04-22 https://mybadbroker.com/brokers/three-individuals-sanctioned-for-municipal-bond-order-violations2025-04-21 https://mybadbroker.com/brokers/j-p-morgan-securities-fined-650000-for-regulation-m-violations2025-04-21 https://mybadbroker.com/brokers/percival-financial-partners-and-kenneth-taylor-fined-for-net-capital-violations2025-04-21 https://mybadbroker.com/brokers/robert-muller-jr-suspended-for-undisclosed-private-securities-transaction2025-04-17 https://mybadbroker.com/brokers/matthew-mierzyckis-registration-revoked-for-failure-to-pay-fines2025-04-16 https://mybadbroker.com/brokers/manuel-melendez-barred-for-borrowing-from-customers-and-misusing-funds2025-04-15 https://mybadbroker.com/brokers/sonenshine-company-fined-for-anti-money-laundering-deficiencies2025-04-15 https://mybadbroker.com/brokers/curtis-smith-suspended-for-impersonating-customer-and-unauthorized-discretion2025-04-14 https://mybadbroker.com/brokers/kelly-ray-moore-barred-for-refusing-to-cooperate-with-finra-investigation2025-04-14 https://mybadbroker.com/brokers/sam-jakobs-barred-for-failing-to-produce-information-in-finra-investigation2025-04-14 https://mybadbroker.com/brokers/synapse-brokerage-suspended-for-failing-to-provide-information2025-04-11 https://mybadbroker.com/brokers/mercury-capital-advisors-suspended-for-information-deficiency2025-04-11 https://mybadbroker.com/brokers/ekats-securities-suspended-for-failing-to-provide-information2025-04-11 https://mybadbroker.com/brokers/muhammad-wahdy-suspended-15-months-for-undisclosed-investment-advisory-business2025-04-11 https://mybadbroker.com/brokers/isaiah-thomas-williams-jr-barred-for-refusing-to-provide-information-to-finra2025-04-11 https://mybadbroker.com/brokers/joseph-eisler-barred-for-profit-sharing-arrangement-with-customer2025-04-11 https://mybadbroker.com/brokers/md-global-partners-fined-for-willful-reg-bi-violations2025-04-11 https://mybadbroker.com/brokers/joseph-stone-capital-fined-35000-for-taping-rule-violations2025-04-11 https://mybadbroker.com/brokers/robert-tweed-receives-sanction-determination-on-remand-from-sec2025-04-10 https://mybadbroker.com/brokers/thomas-rapp-suspended-21-months-for-undisclosed-private-equity-fund-activities2025-04-08 https://mybadbroker.com/brokers/william-conn-suspended-for-unauthorized-discretion-and-undisclosed-customer-gifts2025-04-07 https://mybadbroker.com/brokers/benjamin-adams-suspended-for-forging-signatures-on-documents2025-04-07 https://mybadbroker.com/brokers/ben-jen-and-raymond-rohne-barred-for-failing-to-cooperate-with-finra-investigation2025-04-07 https://mybadbroker.com/brokers/alpine-securities-corporation-expelled-from-finra-for-customer-account-abuse2025-04-07 https://mybadbroker.com/brokers/tp-icap-global-markets-americas-fined-for-manipulative-trading-surveillance-failures2025-04-04 https://mybadbroker.com/brokers/liberty-partners-financial-services-fined-for-multiple-compliance-failures2025-04-04 https://mybadbroker.com/brokers/financial-northeastern-securities-fined-for-late-trace-reporting2025-04-04 https://mybadbroker.com/brokers/multiple-individuals-suspended-for-failure-to-comply-with-arbitration-awards2025-04-03 https://mybadbroker.com/brokers/multiple-individuals-suspended-for-failing-to-provide-information2025-04-03 https://mybadbroker.com/brokers/thomas-sharp-suspended-for-borrowing-from-customer2025-04-03 https://mybadbroker.com/brokers/christopher-harpin-suspended-and-fined-for-mismarking-trades2025-04-02 https://mybadbroker.com/brokers/revere-securities-llc-fined-125000-for-mismarking-trade-tickets2025-04-02 https://mybadbroker.com/brokers/michael-dugan-suspended-seven-months-for-excessive-trading-in-customer-accounts2025-04-01 https://mybadbroker.com/brokers/dennis-matthew-lovett-jr-barred-for-refusing-to-cooperate-with-investigation2025-03-31 https://mybadbroker.com/brokers/thurston-springer-financial-fined-150000-for-multiple-supervisory-failures2025-03-31 https://mybadbroker.com/brokers/nana-kwame-kwakye-bissah-charged-with-failing-to-cooperate-with-investigation2025-03-27 https://mybadbroker.com/brokers/jason-michael-poschinger-suspended-six-months-for-misappropriating-customer-information2025-03-27 https://mybadbroker.com/brokers/mark-frederic-seruya-barred-for-refusing-to-cooperate-with-investigation2025-03-27 https://mybadbroker.com/brokers/christopher-james-christensen-barred-for-failing-to-cooperate-with-examination2025-03-27 https://mybadbroker.com/brokers/usca-securities-fined-75000-for-net-capital-and-recordkeeping-violations2025-03-27 https://mybadbroker.com/brokers/anthony-neil-wenham-suspended-three-months-for-falsifying-firm-records2025-03-26 https://mybadbroker.com/brokers/linda-lucille-sokol-francis-barred-for-refusing-to-cooperate-with-investigation2025-03-25 https://mybadbroker.com/brokers/john-michael-palma-barred-for-refusing-to-produce-documents-to-finra2025-03-25 https://mybadbroker.com/brokers/derek-lee-copeland-barred-for-undisclosed-private-securities-transactions-and-off-channel-communications2025-03-24 https://mybadbroker.com/brokers/united-first-partners-and-elizabeth-dickerson-fined-220000-for-supervisory-failures2025-03-24 https://mybadbroker.com/brokers/gaelin-michaela-monkman-kotz-suspended-one-month-for-off-channel-communications2025-03-21 https://mybadbroker.com/brokers/martin-allan-barth-suspended-16-months-for-securities-fraud-and-pandemic-unemployment-fraud2025-03-21 https://mybadbroker.com/brokers/newedge-securities-fined-275000-and-ordered-to-disgorge-750746-for-municipal-bond-violations2025-03-21 https://mybadbroker.com/brokers/cassandra-n-heitz-barred-for-failure-to-provide-information2025-03-20 https://mybadbroker.com/brokers/tigress-financial-partners-fined-100000-for-aml-program-deficiencies2025-03-20 https://mybadbroker.com/brokers/cody-michael-keller-barred-for-refusing-to-provide-information-to-finra2025-03-19 https://mybadbroker.com/brokers/joseph-michael-cannon-barred-for-refusing-testimony-regarding-questionable-transactions2025-03-19 https://mybadbroker.com/brokers/nathan-d-caldwell-barred-for-refusing-to-cooperate-with-investigation-into-unauthorized-transfers2025-03-19 https://mybadbroker.com/brokers/national-financial-services-fined-100000-for-uit-transfer-delays2025-03-19 https://mybadbroker.com/brokers/mariner-financial-group-fined-and-ordered-to-pay-restitution-for-reg-bi-violations2025-03-18 https://mybadbroker.com/brokers/jarrett-carter-thomas-suspended-45-days-for-unauthorized-transaction-involving-incapacitated-senior2025-03-17 https://mybadbroker.com/brokers/northern-trust-securities-fined-150000-for-trace-reporting-failures2025-03-17 https://mybadbroker.com/brokers/martin-barwikowski-barred-for-refusing-to-produce-documents-in-sales-practice-investigation2025-03-14 https://mybadbroker.com/brokers/ftp-securities-llc-fined-35000-for-inadequate-outside-business-activity-supervision2025-03-12 https://mybadbroker.com/brokers/sanctuary-securities-fined-150000-for-aml-program-deficiencies2025-03-11 https://mybadbroker.com/brokers/jordan-paul-meadow-barred-for-refusing-testimony-in-excessive-trading-investigation2025-03-10 https://mybadbroker.com/brokers/calvin-lee-gray-charged-with-failing-to-cooperate-with-investigation-into-bank-fraud-allegations2025-03-06 https://mybadbroker.com/brokers/richard-joseph-perlongo-suspended-three-months-for-excessive-trading2025-03-06 https://mybadbroker.com/brokers/james-allen-bowman-barred-for-refusing-testimony-in-finra-investigation2025-03-06 https://mybadbroker.com/brokers/robert-w-baird-co-ordered-to-pay-657830-for-reg-bi-violations2025-03-06 https://mybadbroker.com/brokers/redbridge-securities-llc-fined-475000-for-aml-and-market-manipulation-supervisory-failures2025-03-06 https://mybadbroker.com/brokers/glenn-ngo-barred-for-refusing-to-provide-information-to-finra2025-03-04 https://mybadbroker.com/brokers/tradeweb-direct-llc-fined-65000-for-municipal-securities-reporting-violations2025-03-04 https://mybadbroker.com/brokers/network-1-financial-securities-and-michael-molinaro-fined-400000-for-aml-compliance-failures2025-03-04 https://mybadbroker.com/brokers/james-anthony-iannazzo-fined-50000-and-suspended-two-years-for-structuring-cash-transactions2025-03-03 https://mybadbroker.com/brokers/william-worthen-king-suspended-30-days-for-unauthorized-discretionary-trading2025-03-03 https://mybadbroker.com/brokers/christopher-denis-suspended-18-months-for-assisting-with-examination-cheating2025-03-03 https://mybadbroker.com/brokers/jonathan-earl-best-suspended-three-months-for-unauthorized-trading-in-senior-customer-account2025-03-03 https://mybadbroker.com/brokers/david-lee-jerke-barred-for-refusing-to-cooperate-with-finra-investigation2025-03-03 https://mybadbroker.com/brokers/robinhood-financial-and-robinhood-securities-fined-26-million-for-multiple-violations2025-03-01 https://mybadbroker.com/brokers/brett-allen-rutherford-barred-for-refusing-to-cooperate-with-arbitration-investigation2025-02-28 https://mybadbroker.com/brokers/tyler-morgan-krol-barred-for-refusing-to-cooperate-with-credit-card-fraud-investigation2025-02-28 https://mybadbroker.com/brokers/keith-craig-baron-barred-and-ordered-to-pay-284890-for-defrauding-elderly-couple2025-02-28 https://mybadbroker.com/brokers/tifin-private-markets-fined-30000-for-net-capital-deficiencies2025-02-28 https://mybadbroker.com/brokers/michael-louis-miro-suspended-three-months-for-undisclosed-outside-business-activity2025-02-27 https://mybadbroker.com/brokers/william-slattery-barred-for-cheating-on-series-66-exam-using-cell-phone-and-chatgpt2025-02-27 https://mybadbroker.com/brokers/young-america-capital-fined-50000-for-aml-program-deficiencies2025-02-26 https://mybadbroker.com/brokers/szczepan-kosmaczewski-barred-for-refusing-to-testify-in-securities-recommendations-investigation2025-02-25 https://mybadbroker.com/brokers/marketaxess-fined-180000-for-inaccurate-and-untimely-trade-reports2025-02-25 https://mybadbroker.com/brokers/jeremy-w-fortner-suspended-for-failure-to-comply-with-arbitration-award2025-02-24 https://mybadbroker.com/brokers/michael-oakley-thomas-suspended-for-failure-to-provide-information2025-02-24 https://mybadbroker.com/brokers/amanda-e-kriss-suspended-for-failure-to-provide-information2025-02-24 https://mybadbroker.com/brokers/anthony-richard-bottini-iii-suspended-for-failure-to-provide-information2025-02-24 https://mybadbroker.com/brokers/mark-robert-brosa-barred-for-failure-to-provide-information2025-02-24 https://mybadbroker.com/brokers/andrew-garrett-mandala-suspended-for-failure-to-comply-with-arbitration-award2025-02-21 https://mybadbroker.com/brokers/eric-jason-abrahams-suspended-for-failure-to-comply-with-arbitration-award2025-02-21 https://mybadbroker.com/brokers/ishmael-williams-charged-with-falsely-certifying-continuing-education-completion2025-02-21 https://mybadbroker.com/brokers/kayla-holeman-suspended-45-days-for-forging-customer-signatures2025-02-21 https://mybadbroker.com/brokers/mary-beth-fisher-spuhler-barred-for-refusing-to-cooperate-with-client-transaction-investigation2025-02-21 https://mybadbroker.com/brokers/stephen-e-trask-suspended-30-days-for-unauthorized-discretionary-trading2025-02-20 https://mybadbroker.com/brokers/justin-casey-funakura-suspended-six-months-for-selling-fraudulent-crypto-investments2025-02-20 https://mybadbroker.com/brokers/merrill-lynch-fined-275000-for-accepting-market-orders-before-secondary-trading-commenced2025-02-20 https://mybadbroker.com/brokers/todd-loring-luft-suspended-for-failure-to-comply-with-arbitration-award2025-02-19 https://mybadbroker.com/brokers/roger-albert-taft-gallagher-barred-for-refusing-to-cooperate-with-criminal-investigation2025-02-19 https://mybadbroker.com/brokers/thomas-christopher-johnson-suspended-for-failure-to-provide-information2025-02-18 https://mybadbroker.com/brokers/jerome-oliver-harris-suspended-for-failure-to-provide-information2025-02-18 https://mybadbroker.com/brokers/jeu-emmanuel-delgado-lopez-suspended-for-failure-to-provide-information2025-02-18 https://mybadbroker.com/brokers/vanessa-arlene-webber-barred-for-failure-to-provide-information2025-02-18 https://mybadbroker.com/brokers/gustavo-santos-miramontes-barred-for-failure-to-provide-information2025-02-18 https://mybadbroker.com/brokers/desmond-lawrence-james-jones-barred-for-failure-to-provide-information2025-02-18 https://mybadbroker.com/brokers/ana-maria-dimco-charged-with-misusing-firm-funds-for-personal-expenses2025-02-18 https://mybadbroker.com/brokers/cova-capital-partners-fined-30000-for-reg-bi-violations-in-private-placement-sales2025-02-14 https://mybadbroker.com/brokers/cesar-manuel-casado-barred-for-refusing-to-cooperate-with-insurance-application-investigation2025-02-13 https://mybadbroker.com/brokers/gts-securities-fined-150000-for-inaccurate-rule-605-execution-quality-reports2025-02-13 https://mybadbroker.com/brokers/airlink-markets-expelled-for-failure-to-provide-information2025-02-12 https://mybadbroker.com/brokers/jordan-paul-mclendon-barred-for-refusing-to-provide-documents2025-02-12 https://mybadbroker.com/brokers/stonecrest-capital-markets-fined-45000-for-trace-reporting-failures2025-02-12 https://mybadbroker.com/brokers/christopher-paul-hale-barred-for-failure-to-provide-information2025-02-11 https://mybadbroker.com/brokers/ryan-d-clayton-barred-for-failure-to-provide-information2025-02-11 https://mybadbroker.com/brokers/ryan-k-taleghani-barred-for-failure-to-provide-information2025-02-10 https://mybadbroker.com/brokers/sentinel-brokers-fined-25000-for-inaccurate-books-and-records2025-02-10 https://mybadbroker.com/brokers/multiple-individuals-suspended-for-failing-to-comply-with-arbitration-awards2025-02-08 https://mybadbroker.com/brokers/ruben-trujillo-suspended-for-failure-to-comply-with-arbitration-award2025-02-07 https://mybadbroker.com/brokers/justin-ray-deiter-suspended-six-months-for-excessive-trading-in-customer-accounts2025-02-06 https://mybadbroker.com/brokers/curvature-securities-fined-50000-for-customer-reserve-calculation-errors2025-02-06 https://mybadbroker.com/brokers/banyan-securities-fined-15000-for-anti-money-laundering-failures2025-02-06 https://mybadbroker.com/brokers/daniella-r-rand-suspended-for-failure-to-comply-with-arbitration-award2025-02-05 https://mybadbroker.com/brokers/james-burchett-cross-suspended-for-failure-to-comply-with-arbitration-award2025-02-05 https://mybadbroker.com/brokers/dora-alicia-soto-barred-for-refusing-to-testify-in-expense-report-investigation2025-02-04 https://mybadbroker.com/brokers/gary-steven-costello-barred-for-refusing-to-testify-in-trade-rebilling-investigation2025-02-04 https://mybadbroker.com/brokers/amy-leanne-marx-suspended-for-failure-to-comply-with-arbitration-award2025-02-03 https://mybadbroker.com/brokers/james-j-mariani-suspended-for-failure-to-comply-with-arbitration-award2025-02-03 https://mybadbroker.com/brokers/michael-fasciglione-suspended-for-failure-to-comply-with-arbitration-award2025-02-03 https://mybadbroker.com/brokers/apex-clearing-fined-3-2-million-for-fully-paid-securities-lending-violations2025-02-01 https://mybadbroker.com/brokers/santiago-j-torres-jr-facing-finra-charges-for-failing-to-cooperate-with-misappropriation-investigation2025-01-31 https://mybadbroker.com/brokers/danielle-marie-freeman-suspended-for-removing-customer-personal-information2025-01-31 https://mybadbroker.com/brokers/kevin-john-herne-facing-finra-charges-for-failing-to-disclose-felony-charge2025-01-30 https://mybadbroker.com/brokers/frank-j-bodi-suspended-for-unauthorized-discretionary-trading2025-01-30 https://mybadbroker.com/brokers/raeshoun-rashidi-suspended-2-years-for-transferring-suspicious-funds2025-01-29 https://mybadbroker.com/brokers/angelo-julius-piccone-suspended-for-unsuitable-alternative-investment-recommendations2025-01-29 https://mybadbroker.com/brokers/kenneth-h-nahrstedt-suspended-for-false-attestation-enabling-500000-fraudulent-wire2025-01-29 https://mybadbroker.com/brokers/jin-yi-lim-suspended-12-months-for-treasury-securities-spoofing2025-01-29 https://mybadbroker.com/brokers/rod-eric-hurowitz-suspended-for-falsely-certifying-continuing-education-completion2025-01-29 https://mybadbroker.com/brokers/lonny-miller-barred-for-refusing-testimony-in-trading-investigation2025-01-29 https://mybadbroker.com/brokers/ibn-financial-services-and-timothy-evans-fined-for-reg-bi-violations2025-01-29 https://mybadbroker.com/brokers/devon-freeman-suspended-8-months-for-forging-and-backdating-insurance-documents2025-01-28 https://mybadbroker.com/brokers/daniel-ray-deno-barred-for-refusing-to-cooperate-with-fraud-investigation2025-01-28 https://mybadbroker.com/brokers/joseph-arthur-ondris-suspended-for-using-personal-email-for-securities-business2025-01-27 https://mybadbroker.com/brokers/g1-execution-services-fined-175000-for-late-trade-reporting2025-01-27 https://mybadbroker.com/brokers/donald-philip-mccarthy-suspended-for-sharing-confidential-bank-secrecy-act-information2025-01-24 https://mybadbroker.com/brokers/carlton-perry-fletcher-barred-for-refusing-to-cooperate-with-conversion-investigation2025-01-24 https://mybadbroker.com/brokers/bhaskarray-bhupat-barot-barred-for-refusing-to-provide-testimony2025-01-24 https://mybadbroker.com/brokers/anthony-j-seifert-suspended-for-unauthorized-discretionary-trading2025-01-23 https://mybadbroker.com/brokers/michael-ryan-petruska-suspended-for-failing-to-disclose-felony-charge2025-01-23 https://mybadbroker.com/brokers/kate-yumi-lam-suspended-12-months-for-improper-expense-submissions2025-01-23 https://mybadbroker.com/brokers/berkshire-global-advisors-fined-100000-for-outside-brokerage-account-supervision-failures2025-01-23 https://mybadbroker.com/brokers/alfred-sietze-vanderlaan-suspended-for-unsuitable-bond-recommendations-to-seniors2025-01-22 https://mybadbroker.com/brokers/avenue-securities-fined-300000-for-misleading-influencer-marketing2025-01-22 https://mybadbroker.com/brokers/teslim-osahon-belo-osagie-barred-for-refusing-to-cooperate-with-outside-business-investigation2025-01-21 https://mybadbroker.com/brokers/jonathan-manuel-aguilera-barred-for-refusing-to-cooperate-with-investigation2025-01-21 https://mybadbroker.com/brokers/ubs-financial-services-fined-1-1-million-for-inaccurate-blue-sheet-submissions2025-01-21 https://mybadbroker.com/brokers/justin-william-pagel-suspended-10-months-for-unsuitable-recommendations-and-unauthorized-trading2025-01-17 https://mybadbroker.com/brokers/fabio-peter-la-rosa-suspended-for-unauthorized-transfers-from-trust-accounts2025-01-17 https://mybadbroker.com/brokers/gwendolyn-janice-hayes-barred-for-refusing-to-cooperate-with-finra-examination2025-01-17 https://mybadbroker.com/brokers/christopher-michael-chiampas-suspended-for-failing-to-disclose-customer-complaint2025-01-16 https://mybadbroker.com/brokers/wall-street-access-fined-125000-for-regulation-nms-trade-through-violations2025-01-16 https://mybadbroker.com/brokers/matthew-ian-turner-suspended-for-excessive-trading-harming-seniors2025-01-15 https://mybadbroker.com/brokers/jason-brooks-head-barred-for-converting-over-498000-from-customers2025-01-15 https://mybadbroker.com/brokers/benjamin-j-rosamond-suspended-for-undisclosed-outside-business-and-private-securities-transactions2025-01-14 https://mybadbroker.com/brokers/christopher-delbert-martin-suspended-two-years-for-undisclosed-private-securities-transactions2025-01-14 https://mybadbroker.com/brokers/simon-t-hagos-suspended-for-undisclosed-outside-securities-account2025-01-14 https://mybadbroker.com/brokers/christopher-james-christensen-facing-finra-charges-for-failing-to-cooperate-with-examination2025-01-13 https://mybadbroker.com/brokers/ceros-financial-services-fined-90000-for-contingency-offering-violations2025-01-13 https://mybadbroker.com/brokers/newbridge-securities-fined-60000-for-failing-to-supervise-unsuitable-margin-use2025-01-10 https://mybadbroker.com/brokers/armando-alejandro-barron-suspended-24-months-for-private-securities-transactions2025-01-08 https://mybadbroker.com/brokers/irc-securities-fined-45000-for-failing-to-supervise-promissory-note-activity2025-01-08 https://mybadbroker.com/brokers/investments-for-you-fined-25000-for-reg-bi-and-form-crs-compliance-failures2025-01-08 https://mybadbroker.com/brokers/fidelity-brokerage-services-fined-600000-for-supervision-failures-leading-to-employee-theft2025-01-08 https://mybadbroker.com/brokers/vorpahl-wing-securities-fined-25000-for-net-capital-and-reporting-violations2025-01-07 https://mybadbroker.com/brokers/hovde-group-fined-60000-for-outside-brokerage-account-supervision-failures2025-01-07 https://mybadbroker.com/brokers/the-frazer-lanier-company-fined-125000-for-political-contribution-supervision-failures2025-01-07 https://mybadbroker.com/brokers/cim-securities-fined-70000-for-unregistered-distribution-and-red-flag-failures2025-01-07 https://mybadbroker.com/brokers/charles-william-wodrich-barred-for-failing-to-cooperate-with-senior-investor-investigation2025-01-06 https://mybadbroker.com/brokers/john-alfred-dow-jr-barred-for-refusing-to-produce-documents-in-estate-investigation2025-01-06 https://mybadbroker.com/brokers/international-assets-advisory-fined-for-trace-and-rtrs-reporting-violations2025-01-06 https://mybadbroker.com/brokers/bofa-securities-fined-250000-for-trace-reporting-failures2025-01-02 https://mybadbroker.com/brokers/citigroup-global-markets-fined-100000-for-municipal-securities-registration-violations2024-12-31 https://mybadbroker.com/brokers/barclays-capital-fined-1000000-for-net-capital-computation-failures2024-12-31 https://mybadbroker.com/brokers/vincent-william-labarbara-suspended-for-undisclosed-customer-lending-arrangement2024-12-30 https://mybadbroker.com/brokers/ubs-financial-services-fined-1100000-for-trade-confirmation-disclosure-failures2024-12-30 https://mybadbroker.com/brokers/interactive-brokers-fined-2250000-for-free-riding-detection-failures2024-12-30 https://mybadbroker.com/brokers/jefferies-llc-fined-250000-for-regulation-m-supervisory-failures2024-12-27 https://mybadbroker.com/brokers/justin-daniel-muccigrosso-suspended-for-misusing-firm-funds-through-false-expense-claims2024-12-26 https://mybadbroker.com/brokers/ronald-cellini-suspended-for-having-others-complete-insurance-continuing-education2024-12-24 https://mybadbroker.com/brokers/adam-harris-ezrilov-barred-for-refusing-to-provide-testimony-to-finra2024-12-24 https://mybadbroker.com/brokers/builder-advisor-group-fined-30000-for-aml-and-beneficial-owner-verification-failures2024-12-24 https://mybadbroker.com/brokers/emilio-guajardo-jr-suspended-for-unsuitable-uit-concentration-recommendations2024-12-23 https://mybadbroker.com/brokers/steven-michael-blanchard-suspended-two-years-for-falsifying-documents-and-lying-to-finra2024-12-23 https://mybadbroker.com/brokers/virtu-americas-fined-750000-for-overstating-advertised-trade-volume2024-12-23 https://mybadbroker.com/brokers/j-p-morgan-securities-fined-3000000-for-short-interest-reporting-failures2024-12-23 https://mybadbroker.com/brokers/howard-dennis-kavinsky-barred-for-falsifying-customer-account-statements-and-lying-to-finra2024-12-20 https://mybadbroker.com/brokers/daniel-hoeflinger-barred-for-failing-to-provide-information-to-finra2024-12-20 https://mybadbroker.com/brokers/wells-fargo-clearing-services-fined-900000-for-blue-sheet-reporting-failures2024-12-20 https://mybadbroker.com/brokers/lpl-financial-fined-900000-for-blue-sheet-reporting-errors2024-12-20 https://mybadbroker.com/brokers/robert-alan-yedid-suspended-for-sharing-compensation-with-unregistered-person2024-12-19 https://mybadbroker.com/brokers/ubs-financial-services-fined-500000-for-syndicate-preferred-stock-supervision-failures2024-12-18 https://mybadbroker.com/brokers/seaport-global-securities-fined-125000-for-options-trading-supervision-failures2024-12-18 https://mybadbroker.com/brokers/insigneo-securities-fined-85000-for-private-securities-transaction-and-trace-violations2024-12-18 https://mybadbroker.com/brokers/james-joseph-lukezic-charged-with-unauthorized-mutual-fund-trades-and-false-statements2024-12-17 https://mybadbroker.com/brokers/donald-r-ayers-jr-suspended-for-failing-to-disclose-liens-and-judgments2024-12-17 https://mybadbroker.com/brokers/james-clayton-langford-iii-barred-for-refusing-testimony-amid-fund-conversion-allegations2024-12-17 https://mybadbroker.com/brokers/cambria-capital-ordered-to-pay-restitution-for-excessive-commissions-and-trading-violations2024-12-17 https://mybadbroker.com/brokers/jonathan-earl-best-charged-with-unauthorized-trading-in-senior-customer-account2024-12-13 https://mybadbroker.com/brokers/mary-christine-beslagic-suspended-for-unsuitable-mutual-fund-recommendations2024-12-12 https://mybadbroker.com/brokers/sean-p-mccabe-suspended-for-excessive-trading-in-customer-account2024-12-11 https://mybadbroker.com/brokers/jack-david-faller-suspended-for-creating-false-branch-inspection-reports2024-12-11 https://mybadbroker.com/brokers/saraie-dorgilles-barred-for-refusing-to-provide-testimony-to-finra2024-12-11 https://mybadbroker.com/brokers/arlington-securities-and-robert-earl-hillard-fined-for-unsuitable-variable-annuity-recommendations2024-12-11 https://mybadbroker.com/brokers/sharon-green-suspended-for-undisclosed-consulting-services-to-senior-customers2024-12-09 https://mybadbroker.com/brokers/paul-edwards-suspended-for-forging-customer-signatures-and-falsifying-documents2024-12-09 https://mybadbroker.com/brokers/bryan-scott-corona-suspended-for-failing-to-disclose-felony-charges2024-12-09 https://mybadbroker.com/brokers/michael-john-brewster-suspended-for-having-others-complete-compliance-training2024-12-09 https://mybadbroker.com/brokers/christopher-mullaly-suspended-for-undisclosed-outside-brokerage-accounts2024-12-06 https://mybadbroker.com/brokers/sg-americas-securities-fined-950000-for-fingerprinting-violations2024-12-06 https://mybadbroker.com/brokers/chris-s-stocks-suspended-for-undisclosed-hotel-investment-business2024-12-04 https://mybadbroker.com/brokers/union-capital-company-ordered-to-pay-restitution-for-non-traditional-fund-supervisory-failures2024-12-04 https://mybadbroker.com/brokers/lifesci-capital-fined-900000-for-spac-underwriting-violations2024-12-04 https://mybadbroker.com/brokers/matthew-thomas-higgins-suspended-for-private-securities-transactions2024-12-03 https://mybadbroker.com/brokers/bok-financial-securities-fined-110000-for-trace-reporting-failures2024-12-03 https://mybadbroker.com/brokers/michael-timothy-shoniker-suspended-for-undisclosed-outside-business-activities2024-12-02 https://mybadbroker.com/brokers/stephen-philip-king-barred-for-refusing-to-provide-testimony-to-finra2024-12-02 https://mybadbroker.com/brokers/roger-peter-daly-barred-for-refusing-to-provide-testimony-to-finra2024-12-02 https://mybadbroker.com/brokers/patrick-capital-markets-fined-80000-for-securities-law-violations-in-contingency-offerings2024-12-02 https://mybadbroker.com/brokers/cambridge-investment-research-ordered-to-pay-699217-in-mutual-fund-fee-restitution2024-12-01 https://mybadbroker.com/brokers/osaic-wealth-ordered-to-pay-3-1-million-in-mutual-fund-fee-restitution2024-12-01 https://mybadbroker.com/brokers/edward-jones-ordered-to-pay-4-4-million-in-mutual-fund-fee-restitution2024-12-01 https://mybadbroker.com/brokers/christopher-gallo-suspended-for-excessive-trading-causing-customer-losses2024-11-27 https://mybadbroker.com/brokers/ceondre-colvin-barred-for-refusing-to-cooperate-with-finra-investigation2024-11-27 https://mybadbroker.com/brokers/independent-financial-group-fined-for-529-plan-rollover-sales-charge-failures2024-11-27 https://mybadbroker.com/brokers/richard-linden-suspended-for-insurance-continuing-education-fraud2024-11-26 https://mybadbroker.com/brokers/rachel-chapman-barred-for-refusing-to-testify-in-finra-investigation2024-11-26 https://mybadbroker.com/brokers/jared-bon-barred-for-falsifying-series-7-exam-results2024-11-26 https://mybadbroker.com/brokers/christopher-bailey-barred-for-failing-to-provide-documents-to-finra2024-11-26 https://mybadbroker.com/brokers/moomoo-financial-fined-750000-for-misleading-influencer-marketing2024-11-26 https://mybadbroker.com/brokers/paulson-investment-company-fined-for-inadequate-outside-business-activity-supervision2024-11-22 https://mybadbroker.com/brokers/peter-glowacki-suspended-for-unauthorized-discretionary-trading-and-off-channel-communications2024-11-21 https://mybadbroker.com/brokers/troy-orlando-barred-for-refusing-to-testify-in-finra-investigation2024-11-20 https://mybadbroker.com/brokers/national-financial-services-fined-for-trade-reporting-and-disclosure-violations2024-11-20 https://mybadbroker.com/brokers/torch-securities-and-thomas-odriscoll-fined-for-aml-failures-and-backdated-documents2024-11-20 https://mybadbroker.com/brokers/brenton-schmidt-suspended-for-allowing-signature-falsification2024-11-19 https://mybadbroker.com/brokers/pedro-ostia-vega-suspended-for-falsifying-customer-signatures2024-11-19 https://mybadbroker.com/brokers/ahmad-maklouf-barred-for-refusing-to-provide-documents-to-finra2024-11-19 https://mybadbroker.com/brokers/mml-investors-services-fined-700000-for-consolidated-report-supervision-failures2024-11-19 https://mybadbroker.com/brokers/akinfolarin-sessi-barred-for-refusing-to-testify-in-finra-investigation2024-11-18 https://mybadbroker.com/brokers/cuna-brokerage-services-fined-for-deleting-customer-records2024-11-18 https://mybadbroker.com/brokers/drexel-hamilton-and-representatives-sanctioned-for-municipal-bond-retail-order-fraud2024-11-18 https://mybadbroker.com/brokers/linda-wimsatt-suspended-for-unsuitable-bond-recommendations-to-seniors2024-11-15 https://mybadbroker.com/brokers/vandalia-pizarro-suspended-for-failing-to-disclose-criminal-charge2024-11-15 https://mybadbroker.com/brokers/john-franzino-suspended-for-insurance-continuing-education-fraud2024-11-15 https://mybadbroker.com/brokers/acp-securities-fined-for-failing-to-disclose-associated-persons-disciplinary-history2024-11-15 https://mybadbroker.com/brokers/ryan-bennett-suspended-for-outside-business-activity-and-undisclosed-accounts2024-11-13 https://mybadbroker.com/brokers/maryellen-smyth-barred-for-refusing-to-testify-in-finra-investigation2024-11-13 https://mybadbroker.com/brokers/michael-rosalia-barred-for-failing-to-testify-in-excessive-trading-investigation2024-11-12 https://mybadbroker.com/brokers/enrichher-funding-llc-expelled-from-finra-for-failure-to-provide-information2024-11-12 https://mybadbroker.com/brokers/james-etter-suspended-for-private-securities-transactions-and-undisclosed-outside-business2024-11-12 https://mybadbroker.com/brokers/leo-vassallo-suspended-for-falsifying-customer-signatures2024-11-11 https://mybadbroker.com/brokers/bryan-moskowitz-suspended-for-excessive-trading-causing-customer-losses2024-11-11 https://mybadbroker.com/brokers/rudy-mejia-suspended-for-undisclosed-private-securities-transactions-and-outside-accounts2024-11-11 https://mybadbroker.com/brokers/g-research-fined-for-inaccurate-form-crs-disclosure2024-11-11 https://mybadbroker.com/brokers/complaint-filed-against-john-lowry-and-kim-monchik-for-failing-to-respond-to-finra-requests2024-11-08 https://mybadbroker.com/brokers/renee-lund-suspended-for-falsifying-customer-signatures2024-11-08 https://mybadbroker.com/brokers/jacob-fournier-suspended-for-borrowing-money-from-customer2024-11-08 https://mybadbroker.com/brokers/jordan-allen-suspended-for-undisclosed-private-securities-transactions2024-11-08 https://mybadbroker.com/brokers/bbva-securities-fined-150000-for-variable-annuity-exchange-supervision-failures2024-11-08 https://mybadbroker.com/brokers/jessica-jung-suspended-for-mismarking-order-tickets2024-11-07 https://mybadbroker.com/brokers/spartan-capital-securities-fined-115000-for-failing-to-respond-to-finra-requests2024-11-07 https://mybadbroker.com/brokers/osaic-services-fined-250000-for-options-trading-supervision-failures2024-11-07 https://mybadbroker.com/brokers/james-stockton-suspended-for-undisclosed-private-securities-transactions2024-11-06 https://mybadbroker.com/brokers/tim-hemingway-suspended-for-recommending-etn-strategy-without-understanding-risks2024-11-06 https://mybadbroker.com/brokers/walter-bish-suspended-for-recommending-etn-strategy-without-understanding-risks2024-11-06 https://mybadbroker.com/brokers/tastytrade-fined-for-inadequate-supervision-of-employee-outside-accounts2024-11-06 https://mybadbroker.com/brokers/commerce-brokerage-services-fined-75000-for-failing-to-arbitrate-disputes2024-11-06 https://mybadbroker.com/brokers/smith-brown-groover-ordered-to-pay-2-million-for-unsuitable-etn-trading-strategy2024-11-06 https://mybadbroker.com/brokers/jared-berrios-suspended-for-insurance-continuing-education-fraud2024-11-05 https://mybadbroker.com/brokers/sherwin-sargeant-barred-for-refusing-to-testify-in-finra-investigation2024-11-05 https://mybadbroker.com/brokers/xp-investments-fined-800000-for-private-placement-and-trading-violations2024-11-05 https://mybadbroker.com/brokers/lisa-jones-suspended-for-undisclosed-outside-business-activity2024-11-04 https://mybadbroker.com/brokers/concorde-investment-services-fined-for-unsuitable-alternative-investment-recommendations2024-11-04 https://mybadbroker.com/brokers/spartan-capital-securities-john-lowry-and-kim-monchik-fined-for-disclosure-failures2024-11-04 https://mybadbroker.com/brokers/arnold-feldman-suspended-for-insurance-continuing-education-fraud2024-11-01 https://mybadbroker.com/brokers/morgan-stanley-fined-1-million-for-market-access-control-failures2024-11-01 https://mybadbroker.com/brokers/celadon-financial-group-and-paul-mitchell-waldman-fined-for-rule-606-reporting-and-aml-program-failures2024-10-31 https://mybadbroker.com/brokers/suzanne-marie-capellini-barred-by-nac-for-aml-failures-and-providing-false-information-to-finra2024-10-30 https://mybadbroker.com/brokers/hsbc-securities-fined-for-late-trace-reporting-and-inadequate-supervision2024-10-29 https://mybadbroker.com/brokers/kelln-beth-small-barred-for-refusing-to-testify-about-alleged-forgery-of-insurance-documents2024-10-28 https://mybadbroker.com/brokers/tavic-oshane-lloyd-francis-barred-for-refusing-to-provide-information-about-corporate-credit-card-misuse2024-10-25 https://mybadbroker.com/brokers/jonathan-neil-vagle-barred-for-refusing-to-testify-about-insurance-premium-payment-violations2024-10-23 https://mybadbroker.com/brokers/viewtrade-securities-fined-for-inadequate-supervision-of-outside-brokerage-accounts2024-10-23 https://mybadbroker.com/brokers/sustainable-development-capital-fined-for-failure-to-conduct-independent-aml-testing2024-10-23 https://mybadbroker.com/brokers/steven-patrick-mccormick-barred-for-refusing-to-provide-information-in-response-to-customer-complaint2024-10-22 https://mybadbroker.com/brokers/kenneth-joseph-judd-barred-for-refusing-to-provide-information-about-regulation-d-offering-audit-failure2024-10-22 https://mybadbroker.com/brokers/interactive-brokers-fined-475000-for-securities-lending-program-failures2024-10-22 https://mybadbroker.com/brokers/eric-steven-smith-barred-and-ordered-to-pay-130000-restitution-for-fraudulent-misrepresentations2024-10-21 https://mybadbroker.com/brokers/cole-schmitz-barred-for-refusing-to-cooperate-with-investigation-of-client-signature-violations2024-10-21 https://mybadbroker.com/brokers/fenix-securities-fined-250000-for-allowing-unregistered-individuals-to-conduct-securities-business2024-10-21 https://mybadbroker.com/brokers/finra-expels-dakota-securities-international-and-bars-bruce-martin-zipper-for-books-and-records-violations2024-10-21 https://mybadbroker.com/brokers/maxim-group-fined-75000-for-inaccurate-rule-606-reports2024-10-18 https://mybadbroker.com/brokers/sanford-graham-simmons-barred-for-refusing-to-appear-for-testimony-in-cause-examination-investigation2024-10-17 https://mybadbroker.com/brokers/kittiany-davis-barrios-barred-for-refusing-to-cooperate-with-customer-complaint-investigation2024-10-17 https://mybadbroker.com/brokers/mark-gilbert-beesley-barred-for-refusing-to-appear-for-testimony-about-undisclosed-outside-business-activities2024-10-17 https://mybadbroker.com/brokers/cicc-us-securities-fined-300000-for-anti-money-laundering-program-deficiencies2024-10-17 https://mybadbroker.com/brokers/investment-network-inc-and-gary-lee-arnold-suspended-and-fined-for-regulation-best-interest-violations2024-10-16 https://mybadbroker.com/brokers/harold-edward-klein-suspended-for-falsifying-customer-signatures2024-10-15 https://mybadbroker.com/brokers/thomas-james-baumann-barred-for-refusing-to-provide-information-about-potentially-unauthorized-trading2024-10-15 https://mybadbroker.com/brokers/george-herman-snyder-iv-suspended-for-regulation-best-interest-violations-and-unauthorized-discretion2024-10-11 https://mybadbroker.com/brokers/michael-lancaster-barred-for-refusing-to-provide-information-about-termination2024-10-09 https://mybadbroker.com/brokers/kimberly-ann-clark-barred-for-refusing-to-provide-information-about-misuse-of-outside-business-activity-funds2024-10-09 https://mybadbroker.com/brokers/imc-chicago-fined-1-2-million-for-cat-reporting-failures-and-supervisory-deficiencies2024-10-09 https://mybadbroker.com/brokers/citadel-securities-fined-1-million-for-cat-reporting-violations2024-10-09 https://mybadbroker.com/brokers/kostas-tsamos-suspended-for-excessive-trading-violating-regulation-best-interest2024-10-08 https://mybadbroker.com/brokers/kyle-infinite-manning-suspended-for-excessive-trading-violating-regulation-best-interest2024-10-08 https://mybadbroker.com/brokers/kevin-patrick-kuhl-suspended-for-falsifying-customer-signatures2024-10-08 https://mybadbroker.com/brokers/feng-kou-chen-suspended-for-adding-himself-as-beneficiary-and-unauthorized-trading2024-10-08 https://mybadbroker.com/brokers/vincent-edward-catanzaro-suspended-for-fraudulent-continuing-education-certification2024-10-08 https://mybadbroker.com/brokers/george-apolonides-suspended-for-excessive-trading-violating-regulation-best-interest2024-10-08 https://mybadbroker.com/brokers/robert-anthony-daly-barred-for-refusing-to-provide-information-about-undisclosed-private-securities-transactions2024-10-08 https://mybadbroker.com/brokers/jeffrey-arthur-perryman-barred-for-refusing-to-provide-information-about-outside-business-activities2024-10-07 https://mybadbroker.com/brokers/gary-francis-harpe-barred-for-failing-to-provide-information-about-criminal-charge2024-10-07 https://mybadbroker.com/brokers/citigroup-global-markets-fined-1-4-million-for-margin-and-net-capital-violations2024-10-07 https://mybadbroker.com/brokers/nathan-elliot-lemberg-suspended-for-fraudulent-continuing-education-certification2024-10-04 https://mybadbroker.com/brokers/jeremy-dillon-baldwin-suspended-for-undisclosed-outside-business-activity-and-falsifying-records2024-10-04 https://mybadbroker.com/brokers/elan-sanker-barred-for-refusing-to-appear-for-finra-testimony2024-10-04 https://mybadbroker.com/brokers/christian-scalia-suspended-for-possessing-unauthorized-materials-during-licensing-exams2024-10-03 https://mybadbroker.com/brokers/taulant-matthew-kodi-suspended-for-fraudulent-continuing-education-certification2024-10-03 https://mybadbroker.com/brokers/signet-securities-fined-for-regulation-best-interest-violations-in-private-placement-due-diligence2024-10-03 https://mybadbroker.com/brokers/david-allen-gibbs-suspended-for-unauthorized-borrowing-from-customer2024-10-02 https://mybadbroker.com/brokers/amina-kennedy-suspended-for-fraudulent-continuing-education-certification2024-10-01 https://mybadbroker.com/brokers/daniella-r-rand-barred-for-refusing-to-provide-information-to-finra2024-10-01 https://mybadbroker.com/brokers/rajesh-markan-barred-for-refusing-to-provide-information-to-finra2024-10-01 https://mybadbroker.com/brokers/finra-suspends-colton-wade-jacob-for-failure-to-comply-with-arbitration-award-under-rule-95542024-09-30 https://mybadbroker.com/brokers/finra-suspends-david-jerry-love-for-failure-to-provide-information-under-rule-9552d2024-09-30 https://mybadbroker.com/brokers/finra-bars-juan-antonio-gauna-for-failure-to-provide-information-under-rule-9552h2024-09-30 https://mybadbroker.com/brokers/finra-fines-td-securities-6000000-for-spoofing-in-u-s-treasury-securities2024-09-30 https://mybadbroker.com/brokers/finra-fines-merrill-lynch-2000000-for-trace-and-msrb-reporting-failures2024-09-30 https://mybadbroker.com/brokers/finra-fines-cambridge-international-securities-200000-for-foreign-associate-supervision-failures2024-09-30 https://mybadbroker.com/brokers/finra-suspends-james-uriel-marrero-for-failure-to-provide-information-under-rule-9552d2024-09-27 https://mybadbroker.com/brokers/finra-suspends-sara-therese-jankowski-for-failure-to-provide-information-under-rule-9552d2024-09-27 https://mybadbroker.com/brokers/finra-bars-timothy-fleming-jefferson-for-failure-to-provide-information-under-rule-9552h2024-09-27 https://mybadbroker.com/brokers/finra-bars-brian-scott-graham-for-refusing-testimony-in-unauthorized-withdrawal-investigation2024-09-27 https://mybadbroker.com/brokers/finra-fines-the-oak-ridge-financial-services-group-for-unfair-corporate-bond-pricing2024-09-27 https://mybadbroker.com/brokers/harshavardhan-reddy-pakhal-suspended-by-finra-for-undisclosed-outside-employment2024-09-26 https://mybadbroker.com/brokers/finra-fines-park-avenue-securities-for-mutual-fund-share-class-supervision-failures2024-09-24 https://mybadbroker.com/brokers/finra-suspends-janelle-kay-english-for-failure-to-provide-information-under-rule-9552d2024-09-23 https://mybadbroker.com/brokers/finra-suspends-james-fredrick-easter-for-failure-to-provide-information-under-rule-9552d2024-09-23 https://mybadbroker.com/brokers/finra-decision-under-appeal-jose-luis-centeno-facing-sanctions-for-falsifying-exception-report-reviews2024-09-23 https://mybadbroker.com/brokers/finra-bars-jessica-lynn-pinkard-for-refusing-to-cooperate-with-investigation2024-09-23 https://mybadbroker.com/brokers/finra-bars-wilfredo-felix-jr-for-failing-to-respond-to-rule-8210-requests2024-09-23 https://mybadbroker.com/brokers/finra-sanctions-speedtrader-inc-for-best-execution-aml-and-disclosure-failures2024-09-23 https://mybadbroker.com/brokers/finra-fines-independent-financial-group-500000-for-excessive-trading-supervision-failures2024-09-23 https://mybadbroker.com/brokers/finra-fines-merrill-lynch-215000-for-untimely-form-u4-amendments2024-09-23 https://mybadbroker.com/brokers/finra-fines-bofa-securities-60000-for-untimely-form-u4-amendments2024-09-23 https://mybadbroker.com/brokers/finra-suspends-vincent-connor-fuchs-for-failure-to-comply-with-arbitration-award-under-rule-95542024-09-20 https://mybadbroker.com/brokers/anida-venniro-suspended-by-finra-for-undisclosed-outside-business-activity2024-09-20 https://mybadbroker.com/brokers/finra-bars-james-anderson-martin-for-refusing-to-cooperate-with-investigation-into-client-borrowing2024-09-20 https://mybadbroker.com/brokers/finra-bars-maria-de-los-angeles-leon-for-refusing-to-cooperate-with-misappropriation-investigation2024-09-20 https://mybadbroker.com/brokers/finra-bars-christopher-j-booher-for-refusing-to-cooperate-with-fraud-investigation2024-09-20 https://mybadbroker.com/brokers/christian-eduardo-de-berardinis-suspended-by-finra-for-unapproved-private-securities-transactions2024-09-19 https://mybadbroker.com/brokers/finra-bars-armando-vargas-for-refusing-to-appear-for-testimony2024-09-19 https://mybadbroker.com/brokers/finra-fines-wedbush-securities-425000-for-order-routing-and-reporting-violations2024-09-19 https://mybadbroker.com/brokers/bert-kenji-takita-jr-suspended-by-finra-for-undisclosed-outside-business-activities2024-09-18 https://mybadbroker.com/brokers/finra-fines-wedbush-securities-for-supervisory-failures-in-vrsp-recommendations2024-09-18 https://mybadbroker.com/brokers/finra-fines-tradeup-securities-300000-for-short-interest-reporting-failures2024-09-18 https://mybadbroker.com/brokers/finra-bars-barak-rebibo-for-failure-to-provide-information-under-rule-9552h2024-09-17 https://mybadbroker.com/brokers/finra-bars-stephen-james-sullivan-for-failing-to-cooperate-with-churning-investigation2024-09-17 https://mybadbroker.com/brokers/finra-fines-dalmore-group-llc-375000-for-multiple-supervisory-and-compliance-failures2024-09-17 https://mybadbroker.com/brokers/finra-suspends-michael-joseph-russo-for-failure-to-provide-information-under-rule-9552d2024-09-16 https://mybadbroker.com/brokers/finra-suspends-juan-manuel-bernal-gomez-for-failure-to-provide-information-under-rule-9552d2024-09-16 https://mybadbroker.com/brokers/finra-bars-courtney-smith-for-failure-to-provide-information-under-rule-9552h2024-09-16 https://mybadbroker.com/brokers/robert-kennedy-thompson-suspended-by-finra-for-undisclosed-outside-business-activity2024-09-16 https://mybadbroker.com/brokers/rocio-tapia-suspended-by-finra-for-cfp-exam-misconduct2024-09-16 https://mybadbroker.com/brokers/monique-russell-suspended-by-finra-for-continuing-education-fraud2024-09-16 https://mybadbroker.com/brokers/albert-mosseri-suspended-by-finra-for-continuing-education-fraud2024-09-16 https://mybadbroker.com/brokers/finra-bars-tamarah-daniel-taylor-for-misrepresentations-and-fabricating-documents2024-09-16 https://mybadbroker.com/brokers/finra-fines-pershing-llc-for-trade-reporting-failures-in-municipal-and-trace-securities2024-09-16 https://mybadbroker.com/brokers/finra-fines-colorado-financial-service-corporation-for-aml-surveillance-deficiencies2024-09-16 https://mybadbroker.com/brokers/finra-fines-carolina-financial-securities-for-contingency-offering-violations2024-09-16 https://mybadbroker.com/brokers/finra-suspends-luis-quintanar-castanon-for-failure-to-provide-information-under-rule-9552d2024-09-13 https://mybadbroker.com/brokers/christina-skipper-suspended-by-finra-for-fabricating-email-to-conceal-missed-deadline2024-09-13 https://mybadbroker.com/brokers/richard-randy-mireles-suspended-by-finra-for-supervisory-failures-in-excessive-trading2024-09-13 https://mybadbroker.com/brokers/finra-fines-securities-research-inc-of-florida-for-mutual-fund-switching-supervision-failures2024-09-13 https://mybadbroker.com/brokers/finra-suspends-helen-thomasine-andrews-for-failure-to-comply-with-arbitration-award-under-rule-95542024-09-12 https://mybadbroker.com/brokers/finra-fines-wells-fargo-clearing-services-for-failure-to-supervise-unsuitable-short-term-trading2024-09-12 https://mybadbroker.com/brokers/giovanni-perez-suspended-by-finra-for-failing-to-disclose-felony-charge2024-09-11 https://mybadbroker.com/brokers/christopher-charles-mancini-suspended-by-finra-for-continuing-education-fraud2024-09-11 https://mybadbroker.com/brokers/finra-bars-john-a-perez-cubero-for-ceasing-cooperation-with-investigation2024-09-11 https://mybadbroker.com/brokers/finra-bars-tracy-marie-longstreet-for-refusing-to-cooperate-with-investigation2024-09-11 https://mybadbroker.com/brokers/jeremy-isleman-suspended-by-finra-for-continuing-education-fraud2024-09-10 https://mybadbroker.com/brokers/justin-y-gerow-suspended-by-finra-for-forging-customer-signatures-on-transfer-forms2024-09-10 https://mybadbroker.com/brokers/finra-suspends-david-hilton-page-for-failure-to-comply-with-arbitration-award-under-rule-95542024-09-09 https://mybadbroker.com/brokers/finra-suspends-gail-antoinette-milon-for-failure-to-comply-with-arbitration-award-under-rule-95542024-09-09 https://mybadbroker.com/brokers/finra-bars-mariah-nagy-for-failure-to-provide-information-under-rule-9552h2024-09-09 https://mybadbroker.com/brokers/finra-bars-zev-marten-bishop-for-failure-to-provide-information-under-rule-9552h2024-09-09 https://mybadbroker.com/brokers/finra-complaint-filed-against-shadi-taysir-barakat-for-alleged-failure-to-provide-testimony2024-09-09 https://mybadbroker.com/brokers/yonglin-ren-suspended-by-finra-for-unapproved-social-media-communications2024-09-09 https://mybadbroker.com/brokers/spencer-reed-huggett-suspended-by-finra-for-falsifying-customer-signatures2024-09-09 https://mybadbroker.com/brokers/finra-bars-michael-charles-grande-for-failing-to-provide-requested-information2024-09-09 https://mybadbroker.com/brokers/finra-bars-ashlee-nicole-godfrey-for-refusing-testimony-in-misrepresentation-investigation2024-09-09 https://mybadbroker.com/brokers/finra-fines-j-p-morgan-securities-llc-for-permitting-unregistered-investment-banking-activity2024-09-09 https://mybadbroker.com/brokers/finra-bars-daniel-james-turner-for-failure-to-provide-information-under-rule-9552h2024-09-06 https://mybadbroker.com/brokers/finra-suspends-wood-arthur-w-company-inc-for-failure-to-provide-information-under-rule-9552-september-6-20242024-09-06 https://mybadbroker.com/brokers/john-c-shen-suspended-by-finra-for-unapproved-social-media-communications2024-09-06 https://mybadbroker.com/brokers/john-babatunde-abolarin-suspended-by-finra-for-undisclosed-outside-business-activities2024-09-06 https://mybadbroker.com/brokers/finra-fines-odeon-capital-group-llc-for-supervisory-failures-in-spac-offerings2024-09-06 https://mybadbroker.com/brokers/finra-decision-under-appeal-mark-sam-kolta-facing-sanctions-for-unsuitable-reit-recommendations-and-falsified-records2024-09-05 https://mybadbroker.com/brokers/thomas-williams-rinek-suspended-by-finra-for-improper-handling-of-customer-information2024-09-05 https://mybadbroker.com/brokers/simone-alfredo-giuseppe-garofalo-suspended-by-finra-for-unregistered-securities-activities2024-09-05 https://mybadbroker.com/brokers/kyle-william-chapman-suspended-by-finra-for-reg-bi-violations-and-misrepresentations2024-09-05 https://mybadbroker.com/brokers/christopher-philip-arnella-suspended-by-finra-for-unwarranted-stock-predictions2024-09-05 https://mybadbroker.com/brokers/finra-bars-roy-kevin-williams-for-refusing-to-cooperate-with-investigation2024-09-05 https://mybadbroker.com/brokers/finra-bars-waldon-fenster-for-refusing-to-provide-testimony2024-09-05 https://mybadbroker.com/brokers/finra-fines-newbridge-securities-corporation-for-aml-and-supervisory-failures2024-09-05 https://mybadbroker.com/brokers/glenn-edwin-bridwell-jr-suspended-by-finra-for-unauthorized-discretion2024-09-04 https://mybadbroker.com/brokers/finra-suspends-amy-nuttall-zwaan-for-failure-to-comply-with-arbitration-award-under-rule-95542024-09-03 https://mybadbroker.com/brokers/finra-suspends-michael-frank-paesano-for-failure-to-comply-with-arbitration-award-under-rule-95542024-09-03 https://mybadbroker.com/brokers/finra-suspends-wood-arthur-w-company-inc-for-failure-to-provide-information-under-rule-9552-september-3-20242024-09-03 https://mybadbroker.com/brokers/finra-suspends-enrichher-funding-llc-for-failure-to-provide-information-under-rule-95522024-09-03 https://mybadbroker.com/brokers/finra-suspends-airlink-markets-llc-for-failure-to-provide-information-under-rule-95522024-09-03 https://mybadbroker.com/brokers/roger-philip-turcotte-suspended-by-finra-for-mismarking-trade-tickets2024-09-03 https://mybadbroker.com/brokers/christopher-frank-deo-suspended-by-finra-for-continuing-education-fraud2024-09-03 https://mybadbroker.com/brokers/finra-suspends-david-nathan-slater-for-sharing-approximately-500000-in-commissions-with-unregistered-person2024-08-30 https://mybadbroker.com/brokers/finra-fines-brex-treasury-900000-for-anti-money-laundering-and-customer-identification-failures2024-08-30 https://mybadbroker.com/brokers/finra-suspends-stewart-ginn-for-willfully-violating-reg-bi-through-excessive-trading-and-unauthorized-discretion2024-08-29 https://mybadbroker.com/brokers/finra-fines-raymond-james-financial-services-1300000-and-orders-restitution-for-supervisory-failures-in-customer-complaint-reporting-and-mutual-fund-oversight2024-08-29 https://mybadbroker.com/brokers/finra-fines-raymond-james-associates-525000-and-orders-restitution-for-supervisory-failures-in-customer-complaint-reporting-and-mutual-fund-oversight2024-08-29 https://mybadbroker.com/brokers/finra-fines-place-trade-financial-10000-for-exaggerated-and-misleading-website-statements2024-08-29 https://mybadbroker.com/brokers/jason-william-bostian-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award2024-08-28 https://mybadbroker.com/brokers/finra-suspends-kieran-john-loughran-for-excessive-and-unsuitable-trading-of-senior-customer-account2024-08-28 https://mybadbroker.com/brokers/richard-celis-davalos-barred-by-finra-for-refusing-to-provide-testimony2024-08-28 https://mybadbroker.com/brokers/finra-fines-bofa-securities-and-merrill-lynch-3000000-for-failures-in-detecting-potentially-manipulative-trading2024-08-28 https://mybadbroker.com/brokers/mehdi-ahmad-el-sayed-mohamad-barred-by-finra-for-refusing-to-cooperate-with-investigation2024-08-27 https://mybadbroker.com/brokers/finra-fines-bbva-securities-175000-for-inaccurate-trace-reporting-and-supervisory-failures2024-08-27 https://mybadbroker.com/brokers/joseph-alan-seidler-suspended-by-finra-under-rule-9552d-for-failure-to-provide-information2024-08-26 https://mybadbroker.com/brokers/luke-lasseter-brooks-suspended-by-finra-under-rule-9552d-for-failure-to-provide-information2024-08-26 https://mybadbroker.com/brokers/jeffery-bryant-sanders-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-26 https://mybadbroker.com/brokers/bournehill-investment-services-expelled-by-finra-for-failure-to-provide-information-under-rule-95522024-08-26 https://mybadbroker.com/brokers/finra-suspends-shanon-gut-for-falsely-certifying-completion-of-continuing-education2024-08-26 https://mybadbroker.com/brokers/finra-suspends-jonathan-farchi-segal-for-making-false-statements-to-finra-in-connection-with-reg-cf-offering2024-08-26 https://mybadbroker.com/brokers/finra-expels-bananafina-llc-for-failing-to-cooperate-with-investigation2024-08-26 https://mybadbroker.com/brokers/iam-aguilar-suspended-by-finra-under-rule-9552d-for-failure-to-provide-information2024-08-23 https://mybadbroker.com/brokers/finra-suspends-william-pergola-for-falsely-certifying-completion-of-continuing-education2024-08-23 https://mybadbroker.com/brokers/finra-suspends-george-michael-condzal-for-falsely-certifying-completion-of-continuing-education2024-08-23 https://mybadbroker.com/brokers/finra-suspends-richard-foerster-reynolds-for-excessive-and-unsuitable-trading-of-senior-customer-account2024-08-22 https://mybadbroker.com/brokers/finra-suspends-david-m-reyes-for-falsely-certifying-completion-of-continuing-education2024-08-22 https://mybadbroker.com/brokers/finra-suspends-richard-joseph-jackson-for-promissory-and-exaggerated-claims-in-customer-communications2024-08-22 https://mybadbroker.com/brokers/finra-suspends-daniel-brendan-fugiel-for-undisclosed-outside-securities-account2024-08-22 https://mybadbroker.com/brokers/finra-fines-barclays-capital-1250000-for-failing-to-fingerprint-thousands-of-associated-persons2024-08-22 https://mybadbroker.com/brokers/finra-suspends-andrew-robert-hutcheson-for-undisclosed-outside-business-activity2024-08-21 https://mybadbroker.com/brokers/vanessa-oliveira-hendrickson-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-20 https://mybadbroker.com/brokers/jessica-lynn-cottee-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-20 https://mybadbroker.com/brokers/finra-suspends-salvatore-rosario-tringali-for-falsely-certifying-completion-of-continuing-education2024-08-20 https://mybadbroker.com/brokers/gregory-alan-corrie-barred-by-finra-for-refusing-to-cooperate-with-investigation2024-08-20 https://mybadbroker.com/brokers/finra-fines-cantor-fitzgerald-100000-and-orders-restitution-for-best-execution-failures-in-otc-securities2024-08-20 https://mybadbroker.com/brokers/henry-chia-how-chang-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award2024-08-19 https://mybadbroker.com/brokers/samuel-girgiss-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-19 https://mybadbroker.com/brokers/fanar-fawaz-almosleh-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-19 https://mybadbroker.com/brokers/helen-grace-caldwell-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award2024-08-16 https://mybadbroker.com/brokers/christopher-reynolds-barred-by-finra-for-forging-customer-signatures-and-regulation-best-interest-violations2024-08-16 https://mybadbroker.com/brokers/finra-fines-sal-equity-trading-75000-for-inaccurate-trace-reporting2024-08-16 https://mybadbroker.com/brokers/finra-complaint-filed-against-christopher-cacace-for-failure-to-supervise-and-prevent-churning2024-08-15 https://mybadbroker.com/brokers/finra-suspends-glenn-allen-donnell-for-unauthorized-discretion-and-mismarking-trades-in-marijuana-securities2024-08-15 https://mybadbroker.com/brokers/finra-suspends-and-fines-marc-barton-for-reusing-customer-signatures-and-altering-documents2024-08-15 https://mybadbroker.com/brokers/finra-fines-north-capital-private-securities-40000-for-late-private-placement-filings-and-misleading-communications2024-08-15 https://mybadbroker.com/brokers/finra-fines-american-portfolios-financial-services-225000-for-anti-money-laundering-and-supervisory-failures2024-08-15 https://mybadbroker.com/brokers/finra-suspends-luis-e-nin-and-orders-disgorgement-for-unauthorized-trading-in-deceased-customer-account2024-08-14 https://mybadbroker.com/brokers/lawrence-roger-rice-barred-by-finra-for-refusing-to-cooperate-with-investigation2024-08-14 https://mybadbroker.com/brokers/zayed-azaji-rodriguez-regalado-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-13 https://mybadbroker.com/brokers/nicholas-c-camp-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-13 https://mybadbroker.com/brokers/finra-suspends-and-fines-angel-lynn-gulizio-for-continuing-education-fraud2024-08-13 https://mybadbroker.com/brokers/finra-fines-morgan-stanley-smith-barney-400000-for-inaccurate-customer-confirmation-disclosures2024-08-13 https://mybadbroker.com/brokers/matthew-jason-childs-suspended-two-months-for-unsuitable-nt-etp-recommendations-to-retail-customers2024-08-13 https://mybadbroker.com/brokers/finra-fines-portsmouth-financial-services-25000-and-orders-restitution-for-supervisory-failures-involving-non-traditional-etps2024-08-13 https://mybadbroker.com/brokers/joseph-paul-todaro-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award2024-08-12 https://mybadbroker.com/brokers/matthew-w-kagan-suspended-by-finra-under-rule-9552d-for-failure-to-provide-information2024-08-12 https://mybadbroker.com/brokers/michael-darin-dunlap-barred-by-finra-for-converting-approximately-9000-in-firm-funds2024-08-12 https://mybadbroker.com/brokers/john-christoforidis-barred-by-finra-for-refusing-to-provide-testimony2024-08-12 https://mybadbroker.com/brokers/larry-richard-law-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award2024-08-08 https://mybadbroker.com/brokers/finra-complaint-filed-against-daniel-hoeflinger-for-failure-to-provide-information-and-documents2024-08-08 https://mybadbroker.com/brokers/finra-suspends-john-rosario-emanuele-for-continuing-education-fraud2024-08-08 https://mybadbroker.com/brokers/finra-suspends-and-fines-steven-aibel-for-continuing-education-fraud2024-08-08 https://mybadbroker.com/brokers/sabrina-hampton-barred-by-finra-for-refusing-to-provide-testimony2024-08-08 https://mybadbroker.com/brokers/finra-complaint-filed-against-willnard-edwrence-love-for-falsifying-sie-exam-score-report2024-08-06 https://mybadbroker.com/brokers/finra-suspends-jeffrey-steven-tabak-for-supervisory-failures-related-to-market-manipulation-detection2024-08-06 https://mybadbroker.com/brokers/finra-suspends-charles-joseph-riccomini-for-undisclosed-outside-business-activity2024-08-06 https://mybadbroker.com/brokers/finra-suspends-and-fines-jack-s-falzone-jr-for-continuing-education-fraud2024-08-06 https://mybadbroker.com/brokers/finra-fines-stonex-financial-70000-and-orders-restitution-for-best-execution-failures-in-otc-securities2024-08-06 https://mybadbroker.com/brokers/finra-fines-pershing-llc-175000-for-failing-to-report-millions-of-fractional-share-trades-over-26-years2024-08-06 https://mybadbroker.com/brokers/luis-s-jean-bart-suspended-by-finra-under-rule-9552d-for-failure-to-provide-information2024-08-05 https://mybadbroker.com/brokers/johnathan-ervin-grasser-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-05 https://mybadbroker.com/brokers/sebastian-g-bongiovanni-barred-by-finra-under-rule-9552h-for-failure-to-provide-information2024-08-05 https://mybadbroker.com/brokers/finra-suspends-john-rollin-revelle-for-fraudulent-asset-verification-letters-and-undisclosed-outside-business-activity2024-08-05 https://mybadbroker.com/brokers/finra-suspends-kim-ray-kunz-and-orders-restitution-for-regulation-best-interest-violations2024-08-05 https://mybadbroker.com/brokers/marat-likhtenstein-barred-by-finra-for-refusing-to-cooperate-with-investigation2024-08-05 https://mybadbroker.com/brokers/finra-fines-jvm-securities-60000-for-regulation-best-interest-and-supervisory-failures2024-08-05 https://mybadbroker.com/brokers/ryan-scott-stoner-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award2024-08-02 https://mybadbroker.com/brokers/glenn-thomas-colangelo-suspended-by-finra-under-rule-9552d-for-failure-to-provide-information2024-08-02 https://mybadbroker.com/brokers/finra-suspends-and-fines-vincent-mallon-for-continuing-education-fraud2024-08-02 https://mybadbroker.com/brokers/brian-ariel-chicas-suspended-for-failure-to-comply-with-finra-arbitration-award2024-08-01 https://mybadbroker.com/brokers/gaetano-magarelli-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award2024-08-01 https://mybadbroker.com/brokers/brian-ariel-chicas-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award2024-08-01 https://mybadbroker.com/brokers/finra-complaint-filed-against-raymond-damien-rohne-for-failure-to-provide-testimony2024-08-01 https://mybadbroker.com/brokers/seung-hoon-kang-suspended-24-months-and-fined-50000-for-acting-as-unregistered-principal-and-enabling-disqualified-individual2024-08-01 https://mybadbroker.com/brokers/finra-fines-hb-securities-70000-for-permitting-statutorily-disqualified-individual-to-direct-firm-operations2024-08-01 https://mybadbroker.com/brokers/stephen-m-polak-suspended-for-undisclosed-outside-business-activity-and-private-securities-transactions2024-07-31 https://mybadbroker.com/brokers/kristopher-charles-kessler-suspended-for-undisclosed-outside-business-activity2024-07-31 https://mybadbroker.com/brokers/cole-fleming-suspended-for-insurance-continuing-education-fraud2024-07-31 https://mybadbroker.com/brokers/speedtrader-fined-165000-for-inadequate-manipulation-surveillance-and-market-access-controls2024-07-31 https://mybadbroker.com/brokers/pershing-llc-fined-1-4-million-for-providing-inaccurate-interest-rate-information2024-07-31 https://mybadbroker.com/brokers/cathy-vasilev-suspended-for-submitting-false-content-approvals2024-07-30 https://mybadbroker.com/brokers/dale-self-suspended-for-improperly-taking-customer-information2024-07-30 https://mybadbroker.com/brokers/j-p-morgan-securities-fined-for-regulation-nms-violations2024-07-30 https://mybadbroker.com/brokers/western-international-securities-fined-475000-for-excessive-trading-violations2024-07-29 https://mybadbroker.com/brokers/riedl-first-securities-ordered-to-pay-102181-in-restitution-for-excessive-bond-mark-ups2024-07-29 https://mybadbroker.com/brokers/finra-suspends-investments-for-you-inc-for-failure-to-provide-information-under-rule-95522024-07-26 https://mybadbroker.com/brokers/the-jeffrey-matthews-financial-group-ordered-to-pay-112932-in-restitution-for-unfair-bond-pricing2024-07-26 https://mybadbroker.com/brokers/seth-alan-mckinney-suspended-for-undisclosed-private-securities-transactions2024-07-25 https://mybadbroker.com/brokers/craig-sherman-thistlethwaite-suspended-for-discretionary-trading-and-communication-violations2024-07-24 https://mybadbroker.com/brokers/finra-suspends-wentworth-macarthur-gardner-for-failure-to-comply-with-arbitration-award-under-rule-95542024-07-23 https://mybadbroker.com/brokers/john-a-logan-suspended-for-possessing-prohibited-materials-during-sie-exam2024-07-23 https://mybadbroker.com/brokers/janney-montgomery-scott-fined-150000-for-trade-reporting-violations2024-07-23 https://mybadbroker.com/brokers/scott-eugene-buck-suspended-for-unauthorized-trading-and-unapproved-communications2024-07-22 https://mybadbroker.com/brokers/brian-carroll-beh-suspended-for-undisclosed-outside-business-activity-and-misleading-communications2024-07-22 https://mybadbroker.com/brokers/daniel-keith-beech-suspended-for-paying-commissions-to-unregistered-person2024-07-22 https://mybadbroker.com/brokers/john-e-pelletier-decision-unauthorized-transactions-in-customer-account2024-07-19 https://mybadbroker.com/brokers/scott-willard-taubman-suspended-for-borrowing-from-senior-customers2024-07-19 https://mybadbroker.com/brokers/jordan-stentiford-barred-for-refusing-to-testify-about-forged-customer-signature2024-07-19 https://mybadbroker.com/brokers/the-jeffrey-matthews-financial-group-fined-for-regulation-best-interest-violations2024-07-19 https://mybadbroker.com/brokers/thomas-joseph-clifford-iii-suspended-for-insurance-continuing-education-fraud2024-07-18 https://mybadbroker.com/brokers/zachary-ross-mccraw-barred-for-refusing-to-testify-in-finra-investigation2024-07-18 https://mybadbroker.com/brokers/piper-sandler-fined-for-allowing-unqualified-person-to-engage-in-municipal-securities-activities2024-07-18 https://mybadbroker.com/brokers/sec-remands-cantone-research-case-for-redetermination-of-sanctions2024-07-18 https://mybadbroker.com/brokers/laura-casey-suspended-for-regulation-best-interest-violations-and-discretionary-trading2024-07-17 https://mybadbroker.com/brokers/diptes-basu-suspended-for-cfp-exam-misconduct2024-07-17 https://mybadbroker.com/brokers/ron-yehuda-itin-suspended-for-supervisory-failures-leading-to-identity-theft2024-07-12 https://mybadbroker.com/brokers/pfs-investments-fined-60000-for-failing-to-supervise-outside-business-activities2024-07-12 https://mybadbroker.com/brokers/robert-torres-suspended-for-failure-to-disclose-felony-charge2024-07-11 https://mybadbroker.com/brokers/kaitlyn-s-potter-barred-for-refusing-to-cooperate-with-finra-investigation2024-07-11 https://mybadbroker.com/brokers/fnbb-capital-markets-fined-for-municipal-securities-confirmation-violations2024-07-10 https://mybadbroker.com/brokers/john-wigmore-reilly-iii-suspended-for-regulation-best-interest-violations-in-mutual-fund-switching2024-07-09 https://mybadbroker.com/brokers/carnell-moore-suspended-for-undisclosed-outside-business-activity-and-document-tampering2024-07-09 https://mybadbroker.com/brokers/ubs-financial-services-fined-850000-for-supervisory-failures-leading-to-17-million-customer-losses2024-07-08 https://mybadbroker.com/brokers/lincoln-financial-distributors-fined-300000-for-paying-unregistered-entity2024-07-08 https://mybadbroker.com/brokers/joseph-gunnar-co-ordered-to-pay-nearly-70000-in-restitution-for-unfair-commissions2024-07-08 https://mybadbroker.com/brokers/dante-moss-suspended-for-improperly-taking-customer-information2024-07-05 https://mybadbroker.com/brokers/oshima-associates-fined-for-mismarking-transactions2024-07-05 https://mybadbroker.com/brokers/joseph-a-occhipinti-suspended-for-sharing-cfp-exam-content2024-07-03 https://mybadbroker.com/brokers/si-securities-fined-185000-for-multiple-violations-including-failure-to-return-investor-funds2024-07-02 https://mybadbroker.com/brokers/rbc-capital-markets-fined-for-mutual-fund-sales-charge-waiver-failures2024-07-02 https://mybadbroker.com/brokers/jeffrey-louis-payne-suspended-for-insurance-continuing-education-fraud2024-07-01 https://mybadbroker.com/brokers/jeffrey-thomas-higgins-barred-for-refusing-to-cooperate-with-finra-investigation2024-07-01 https://mybadbroker.com/brokers/merrill-lynch-ordered-to-pay-1-5-million-for-reg-bi-violations2024-07-01 https://mybadbroker.com/brokers/sharif-azmi-sharif-suspended-for-private-securities-transactions-in-crypto-mining-investment2024-06-26 https://mybadbroker.com/brokers/azmi-sharif-and-sharif-azmi-sharif-suspended-for-private-securities-transactions-in-crypto-mining-investment2024-06-26 https://mybadbroker.com/brokers/thomas-nguyen-suspended-for-undisclosed-outside-brokerage-accounts-and-business-activities2024-06-26 https://mybadbroker.com/brokers/katelyn-rae-cordido-reese-suspended-16-months-for-paying-customer-insurance-premiums-to-generate-commissions2024-06-25 https://mybadbroker.com/brokers/sp-securities-fined-for-escrow-violations-in-private-offerings-raising-5-8-million2024-06-25 https://mybadbroker.com/brokers/david-scott-lerner-suspended-for-using-personal-email-for-securities-communications2024-06-25 https://mybadbroker.com/brokers/steve-allen-moise-suspended-for-excessive-trading-violating-regulation-best-interest2024-06-24 https://mybadbroker.com/brokers/thomas-reyes-barred-for-refusing-to-testify-about-undisclosed-annuity-sales2024-06-24 https://mybadbroker.com/brokers/bryan-noonan-barred-for-refusing-to-cooperate-with-investigation-into-undisclosed-activities2024-06-24 https://mybadbroker.com/brokers/austin-richard-dutton-jr-barred-and-ordered-to-disgorge-65509-for-unsuitable-alternative-investments2024-06-24 https://mybadbroker.com/brokers/steward-partners-fined-225000-after-senior-customer-lost-332000-to-ach-fraud2024-06-21 https://mybadbroker.com/brokers/mutual-securities-fined-for-settlement-agreements-that-could-impede-regulatory-investigations2024-06-21 https://mybadbroker.com/brokers/michael-richard-rosalia-charged-with-refusing-to-testify-about-alleged-excessive-trading2024-06-20 https://mybadbroker.com/brokers/devin-lamarr-wicker-barred-and-ordered-to-pay-50000-restitution-for-converting-customer-funds2024-06-20 https://mybadbroker.com/brokers/kepler-capital-markets-fined-475000-for-overstating-trade-volume-data2024-06-18 https://mybadbroker.com/brokers/amber-rose-lewis-barred-for-fabricating-exam-results-and-providing-false-information-to-finra2024-06-14 https://mybadbroker.com/brokers/ronnie-rindon-dumag-barred-for-refusing-to-cooperate-with-investigation-into-potential-conversion2024-06-13 https://mybadbroker.com/brokers/collins-bhola-barred-for-refusing-to-provide-on-the-record-testimony2024-06-13 https://mybadbroker.com/brokers/rosaline-alam-barred-for-refusing-to-cooperate-with-investigation-into-alleged-misappropriation2024-06-11 https://mybadbroker.com/brokers/globalink-securities-ordered-to-pay-nearly-400000-in-customer-restitution-for-unfair-bond-markups2024-06-11 https://mybadbroker.com/brokers/trevor-michael-saliba-barred-by-sec-for-providing-false-documents-to-finra2024-06-10 https://mybadbroker.com/brokers/imdadur-rahman-barred-for-fraudulent-beneficiary-designation-and-elder-financial-exploitation2024-06-10 https://mybadbroker.com/brokers/tradezero-america-fined-250000-for-misleading-influencer-marketing2024-06-10 https://mybadbroker.com/brokers/acs-execution-services-fined-250000-for-short-sale-violations2024-06-10 https://mybadbroker.com/brokers/finra-suspends-adam-j-sciuto-for-failure-to-pay-dues-and-fees-under-rule-95532024-06-06 https://mybadbroker.com/brokers/crown-capital-securities-fined-50000-for-supervisory-failures2024-06-04 https://mybadbroker.com/brokers/rod-charles-dayton-suspended-for-falsely-certifying-completion-of-insurance-continuing-education2024-06-03 https://mybadbroker.com/brokers/securities-america-ordered-to-pay-2-million-restitution-for-mutual-fund-supervision-failures2024-06-01 https://mybadbroker.com/brokers/john-scott-mccoy-jr-barred-for-refusing-to-testify2024-05-31 https://mybadbroker.com/brokers/ronald-harland-berg-barred-for-refusing-to-cooperate2024-05-31 https://mybadbroker.com/brokers/charles-william-wodrich-accused-of-failing-to-cooperate-with-investigation2024-05-30 https://mybadbroker.com/brokers/tavic-oshane-lloyd-francis-accused-of-failing-to-cooperate-with-investigation2024-05-30 https://mybadbroker.com/brokers/david-charles-burke-barred-for-refusing-to-testify2024-05-30 https://mybadbroker.com/brokers/jackson-boomer-suspended-for-exam-misconduct2024-05-29 https://mybadbroker.com/brokers/bryan-stuart-kocen-barred-for-refusing-to-cooperate2024-05-28 https://mybadbroker.com/brokers/thrivent-investment-management-fined-for-electronic-signature-supervision-failures2024-05-28 https://mybadbroker.com/brokers/bofa-securities-fined-for-regulation-m-notification-failures2024-05-28 https://mybadbroker.com/brokers/joseph-glen-ritter-suspended-for-false-form-u4-filings2024-05-23 https://mybadbroker.com/brokers/alan-mason-suspended-for-regulation-bi-violation-unsuitable-bond-recommendation2024-05-22 https://mybadbroker.com/brokers/gary-alan-kieper-barred-for-refusing-to-testify2024-05-21 https://mybadbroker.com/brokers/brandon-daniel-neil-suspended-for-undisclosed-outside-business-activities2024-05-20 https://mybadbroker.com/brokers/edward-john-kotak-jr-suspended-for-false-insurance-continuing-education-certification2024-05-20 https://mybadbroker.com/brokers/paulson-investment-company-fined-for-disclosure-and-filing-failures2024-05-20 https://mybadbroker.com/brokers/beta-capital-securities-fined-for-customer-reserve-requirement-failures2024-05-20 https://mybadbroker.com/brokers/elizabeth-bautista-suspended-for-false-insurance-continuing-education-certification2024-05-17 https://mybadbroker.com/brokers/kayan-securities-fined-for-supervisory-failures-in-excessive-trading2024-05-16 https://mybadbroker.com/brokers/nicole-lynn-bolton-barred-for-refusing-to-cooperate-with-finra-investigation2024-05-15 https://mybadbroker.com/brokers/scott-lewis-suspended-for-false-insurance-continuing-education-certification2024-05-14 https://mybadbroker.com/brokers/arive-capital-markets-sanctioned-for-excessive-trading-and-telemarketing-violations2024-05-14 https://mybadbroker.com/brokers/ariel-a-rivero-suspended-for-off-channel-communications-and-undisclosed-borrowing2024-05-13 https://mybadbroker.com/brokers/paul-robert-fehrenbach-jr-barred-for-refusing-to-cooperate2024-05-13 https://mybadbroker.com/brokers/buckman-buckman-reid-fined-for-operating-below-minimum-net-capital2024-05-13 https://mybadbroker.com/brokers/jesse-aaron-bray-barred-for-refusing-to-testify2024-05-10 https://mybadbroker.com/brokers/kris-min-lee-kim-barred-for-refusing-to-cooperate-with-finra2024-05-09 https://mybadbroker.com/brokers/merrill-lynch-fined-825000-for-order-execution-and-recordkeeping-failures2024-05-09 https://mybadbroker.com/brokers/kevin-elijah-davis-barred-for-refusing-to-testify2024-05-08 https://mybadbroker.com/brokers/matthew-tze-duhr-chen-barred-for-refusing-to-testify2024-05-08 https://mybadbroker.com/brokers/david-wei-wong-accused-of-converting-customer-funds2024-05-07 https://mybadbroker.com/brokers/oppenheimer-fined-500000-for-failing-to-supervise-direct-business-transactions2024-05-07 https://mybadbroker.com/brokers/mizuho-securities-fined-for-inaccurate-customer-confirmations2024-05-07 https://mybadbroker.com/brokers/nyppex-llc-suspended-for-statutory-disqualification-violations2024-05-07 https://mybadbroker.com/brokers/m1-finance-fined-400000-for-regulation-sho-violations2024-05-06 https://mybadbroker.com/brokers/gloria-r-geslak-suspended-for-false-insurance-continuing-education-certification2024-05-02 https://mybadbroker.com/brokers/michael-gerard-gravelyn-barred-for-refusing-to-cooperate-with-finra2024-05-02 https://mybadbroker.com/brokers/sofi-securities-fined-1-1-million-for-identity-theft-and-fraud-vulnerabilities2024-05-02 https://mybadbroker.com/brokers/james-harry-mackellar-barred-for-refusing-to-cooperate-with-finra-investigation2024-05-01 https://mybadbroker.com/brokers/finra-disciplinary-action-m1-finance-llc-fined-850000-for-social-media-influencer-marketing-violations2024-05-01 https://mybadbroker.com/brokers/rbc-capital-markets-fined-375000-and-ordered-to-pay-393833-50-restitution-for-trade-confirmation-and-regulation-t-violations2024-04-29 https://mybadbroker.com/brokers/td-ameritrade-fined-600000-for-deficient-options-trading-approval-system2024-04-26 https://mybadbroker.com/brokers/finra-disciplinary-action-matthew-joseph-mathesen-fined-and-suspended-for-falsifying-continuing-education-certification2024-04-25 https://mybadbroker.com/brokers/finra-disciplinary-action-tyler-miller-fined-and-suspended-for-cheating-on-securities-exam-using-cell-phone2024-04-24 https://mybadbroker.com/brokers/finra-disciplinary-action-justine-marie-cantafio-fined-and-suspended-for-falsifying-insurance-applications-and-forging-signatures2024-04-22 https://mybadbroker.com/brokers/meeder-distribution-services-fined-30000-for-operating-below-minimum-net-capital-requirements2024-04-22 https://mybadbroker.com/brokers/earlybirdcapital-fined-150000-for-inaccurate-financial-reporting-and-books-and-records-violations2024-04-22 https://mybadbroker.com/brokers/finra-disciplinary-action-larry-joseph-michaels-fined-and-suspended-for-unauthorized-discretionary-trading-and-undisclosed-outside-business-activities2024-04-18 https://mybadbroker.com/brokers/finra-disciplinary-action-christopher-joseph-mccoy-fined-and-suspended-for-unauthorized-discretionary-trading-and-false-compliance-attestations2024-04-16 https://mybadbroker.com/brokers/flow-traders-u-s-fined-50000-for-inadequate-financial-risk-management-controls2024-04-16 https://mybadbroker.com/brokers/finra-disciplinary-action-charles-scott-burford-fined-and-suspended-for-unauthorized-trades-and-withdrawals-from-deceased-customer-account-decision-appealed-to-sec2024-04-12 https://mybadbroker.com/brokers/barclays-capital-fined-700000-for-research-analyst-trading-and-disclosure-failures2024-04-12 https://mybadbroker.com/brokers/finra-disciplinary-action-charles-frederik-lek-barred-and-fined-100000-for-supervisory-failures-and-compliance-violations-at-lek-securities-decision-appealed2024-04-11 https://mybadbroker.com/brokers/finra-disciplinary-action-lek-securities-corporation-expelled-and-fined-1-13-million-for-anti-money-laundering-failures-and-supervisory-violations-decision-appealed2024-04-11 https://mybadbroker.com/brokers/dai-securities-fined-50000-and-ordered-to-pay-restitution-for-failing-to-disclose-material-information-in-private-placement-sales2024-04-10 https://mybadbroker.com/brokers/finra-disciplinary-action-cynthia-s-beyerlein-suspended-for-borrowing-190000-from-customer-in-violation-of-finra-rule-32402024-04-08 https://mybadbroker.com/brokers/murray-securities-fined-35000-for-willful-violation-of-regulation-best-interest2024-04-08 https://mybadbroker.com/brokers/finra-disciplinary-action-robert-spaulding-gleason-jr-fined-and-suspended-for-excessive-trading-in-violation-of-regulation-best-interest2024-04-05 https://mybadbroker.com/brokers/finra-disciplinary-action-sanford-jay-cohen-fined-and-suspended-for-falsifying-continuing-education-certification2024-04-05 https://mybadbroker.com/brokers/robert-dawson-keyser-jr-fined-10000-and-suspended-for-inaccurate-books-and-records-at-dawson-james-securities2024-04-05 https://mybadbroker.com/brokers/finra-fines-dawson-james-securities-500000-for-failure-to-preserve-text-messages-and-supervisory-failures2024-04-05 https://mybadbroker.com/brokers/finra-disciplinary-action-daniel-vanskiver-fined-and-suspended-for-falsifying-customer-signatures-and-compliance-records2024-04-04 https://mybadbroker.com/brokers/cobra-trading-fined-200000-for-unregulated-social-media-influencer-promotions2024-04-03 https://mybadbroker.com/brokers/finra-disciplinary-action-tara-scalia-quilty-fined-and-suspended-for-falsifying-continuing-education-certification2024-04-01 https://mybadbroker.com/brokers/finra-disciplinary-action-ned-adam-seitler-suspended-for-failure-to-provide-information2024-03-29 https://mybadbroker.com/brokers/finra-disciplinary-action-philip-gerard-ciantro-suspended-for-net-capital-compliance-failures2024-03-29 https://mybadbroker.com/brokers/finra-fines-h2c-securities-inc-250000-for-failure-to-retain-electronic-communications2024-03-29 https://mybadbroker.com/brokers/finra-disciplinary-action-jason-w-wolter-suspended-for-unauthorized-discretion2024-03-28 https://mybadbroker.com/brokers/finra-disciplinary-action-christopher-mack-watkins-suspended-for-excessive-commissions2024-03-28 https://mybadbroker.com/brokers/finra-disciplinary-action-christopher-gerard-perillo-suspended-for-exam-integrity-violation2024-03-28 https://mybadbroker.com/brokers/finra-fines-coughlin-company-inc-40000-for-contingency-offering-supervision-failures2024-03-28 https://mybadbroker.com/brokers/finra-disciplinary-action-brian-keith-jones-suspended-for-private-securities-transactions2024-03-27 https://mybadbroker.com/brokers/sidney-lebental-barred-by-finra-for-spoofing-in-u-s-treasury-bond-market2024-03-27 https://mybadbroker.com/brokers/mark-w-manning-barred-by-finra-for-refusing-to-cooperate-in-investigation-of-unauthorized-beneficiary-and-poa-designations2024-03-26 https://mybadbroker.com/brokers/finra-fines-palladium-capital-group-llc-75000-for-aml-compliance-failures2024-03-26 https://mybadbroker.com/brokers/finra-disciplinary-action-kirkland-deshannon-wilson-suspended-for-failure-to-provide-information2024-03-25 https://mybadbroker.com/brokers/finra-fines-stifel-nicolaus-company-920000-for-non-traditional-etp-supervision-failures2024-03-25 https://mybadbroker.com/brokers/finra-fines-stifel-independent-advisors-llc-80000-for-non-traditional-etp-supervision-failures2024-03-25 https://mybadbroker.com/brokers/finra-disciplinary-action-david-a-dodson-suspended-for-structured-cash-deposits2024-03-22 https://mybadbroker.com/brokers/paul-francis-trimber-barred-by-finra-for-refusing-to-cooperate-in-senior-customer-fund-conversion-investigation2024-03-22 https://mybadbroker.com/brokers/finra-fines-tourmaline-partners-llc-75000-for-order-memoranda-and-supervisory-failures2024-03-22 https://mybadbroker.com/brokers/finra-disciplinary-action-timothy-charles-sullivan-suspended-for-failure-to-provide-information2024-03-21 https://mybadbroker.com/brokers/finra-disciplinary-action-ian-a-geeves-suspended-for-failure-to-provide-information2024-03-21 https://mybadbroker.com/brokers/finra-disciplinary-action-michael-ciro-colletti-charged-with-unauthorized-and-excessive-trading2024-03-21 https://mybadbroker.com/brokers/finra-disciplinary-action-alfred-william-schefer-suspended-for-false-continuing-education-certification2024-03-21 https://mybadbroker.com/brokers/juan-carlos-sosa-barred-by-finra-for-converting-over-331000-from-elderly-customer2024-03-21 https://mybadbroker.com/brokers/finra-disciplinary-action-leonardo-hernandez-iii-suspended-for-failure-to-comply-with-arbitration-award2024-03-20 https://mybadbroker.com/brokers/finra-disciplinary-action-joseph-kevin-mathesen-suspended-for-false-continuing-education-certification2024-03-20 https://mybadbroker.com/brokers/finra-disciplinary-action-robert-edward-johnson-suspended-for-false-continuing-education-certification2024-03-20 https://mybadbroker.com/brokers/ravi-d-parmar-barred-by-finra-for-refusing-testimony-in-altered-expense-reports-investigation2024-03-20 https://mybadbroker.com/brokers/finra-disciplinary-action-andre-krause-suspended-for-mismarking-order-tickets2024-03-19 https://mybadbroker.com/brokers/finra-disciplinary-action-todd-arnold-havemeister-suspended-for-misleading-communications2024-03-19 https://mybadbroker.com/brokers/finra-disciplinary-action-john-jude-butler-suspended-for-undisclosed-outside-business-activities2024-03-19 https://mybadbroker.com/brokers/jae-hun-kim-barred-by-finra-for-refusing-to-provide-information-in-customer-arbitration-investigation2024-03-19 https://mybadbroker.com/brokers/matthew-james-chimento-barred-by-finra-for-failing-to-provide-information-in-unauthorized-fund-transfer-investigation2024-03-19 https://mybadbroker.com/brokers/finra-disciplinary-action-quintosha-thomas-barred-for-failure-to-provide-information2024-03-18 https://mybadbroker.com/brokers/finra-disciplinary-action-monu-joseph-barred-for-failure-to-provide-information2024-03-18 https://mybadbroker.com/brokers/finra-disciplinary-action-brian-hall-barred-for-failure-to-provide-information2024-03-18 https://mybadbroker.com/brokers/finra-disciplinary-action-brittany-anderson-barred-for-failure-to-provide-information2024-03-18 https://mybadbroker.com/brokers/finra-disciplinary-action-kwame-adusei-barred-for-failure-to-provide-information2024-03-18 https://mybadbroker.com/brokers/finra-disciplinary-action-seth-horowitz-suspended-for-failure-to-comply-with-arbitration-award2024-03-15 https://mybadbroker.com/brokers/finra-disciplinary-action-gianluca-de-berardinis-barred-for-failure-to-provide-information2024-03-15 https://mybadbroker.com/brokers/finra-disciplinary-action-rista-sumaiya-haque-suspended-for-exam-integrity-violation2024-03-15 https://mybadbroker.com/brokers/finra-fines-stifel-nicolaus-company-400000-for-supervisory-failures-in-customer-fund-conversion2024-03-15 https://mybadbroker.com/brokers/finra-fines-securities-america-inc-150000-for-cybersecurity-failures2024-03-14 https://mybadbroker.com/brokers/finra-fines-osaic-wealth-inc-fka-royal-alliance-associates-150000-for-cybersecurity-failures2024-03-14 https://mybadbroker.com/brokers/valence-montgomery-williams-suspended-by-finra-for-unauthorized-discretionary-trading-and-mismarking-trades2024-03-13 https://mybadbroker.com/brokers/emily-jean-smith-suspended-by-finra-for-falsifying-documents-and-reusing-customer-signature-pages2024-03-13 https://mybadbroker.com/brokers/finra-fines-gts-securities-llc-100000-for-risk-management-control-failures2024-03-13 https://mybadbroker.com/brokers/joseph-michael-cucinotta-jr-suspended-by-finra-for-falsifying-customer-signatures-on-annuity-applications2024-03-12 https://mybadbroker.com/brokers/darrell-w-layman-suspended-by-finra-for-signing-customer-names-on-account-documents2024-03-11 https://mybadbroker.com/brokers/finra-bars-raymond-john-derobbio-for-municipal-bond-fraud-and-suitability-violations2024-03-11 https://mybadbroker.com/brokers/finra-bars-anthony-joseph-cantone-for-municipal-bond-fraud-and-suitability-violations2024-03-11 https://mybadbroker.com/brokers/finra-expels-cantone-research-inc-for-municipal-bond-fraud-and-suitability-violations2024-03-11 https://mybadbroker.com/brokers/sean-jeffrey-fields-suspended-by-finra-for-borrowing-from-customers-and-settling-complaint-without-firm-knowledge2024-03-08 https://mybadbroker.com/brokers/joseph-c-desapio-suspended-by-finra-for-unsuitable-trading-and-borrowing-from-customer2024-03-08 https://mybadbroker.com/brokers/jayson-robert-pocius-barred-by-finra-for-refusing-testimony-in-client-fund-misuse-investigation2024-03-08 https://mybadbroker.com/brokers/finra-fines-newedge-securities-inc-fka-mid-atlantic-capital-corporation-for-unfair-bond-pricing2024-03-07 https://mybadbroker.com/brokers/thomas-bradley-kintz-suspended-by-finra-for-unauthorized-discretionary-trading2024-03-06 https://mybadbroker.com/brokers/john-sebastion-cangialosi-barred-by-finra-for-refusing-testimony-in-outside-business-activities-examination2024-03-06 https://mybadbroker.com/brokers/marion-strickler-adams-iii-barred-by-finra-for-refusing-testimony-in-misappropriation-investigation2024-03-05 https://mybadbroker.com/brokers/stephen-frank-grande-suspended-by-finra-for-falsifying-continuing-education-completion2024-03-04 https://mybadbroker.com/brokers/joshua-r-cook-suspended-by-finra-for-signing-customer-names-on-account-documents2024-03-04 https://mybadbroker.com/brokers/lawrence-richard-brockman-suspended-by-finra-for-borrowing-from-customer-and-concealment2024-03-04 https://mybadbroker.com/brokers/douglas-j-bauerband-suspended-by-finra-for-undisclosed-outside-business-activity2024-03-04 https://mybadbroker.com/brokers/reuben-lamont-brown-barred-by-finra-for-refusing-testimony-in-selling-away-investigation2024-03-04 https://mybadbroker.com/brokers/finra-fines-walton-re-securities-llc-fka-grt-securities-for-net-capital-and-recordkeeping-violations2024-03-04 https://mybadbroker.com/brokers/finra-disciplinary-action-jeffrey-richard-nemesi-suspension-lifted-after-arbitration-compliance2024-03-01 https://mybadbroker.com/brokers/finra-disciplinary-action-david-jerome-ferneding-suspended-for-failure-to-comply-with-arbitration-award2024-03-01 https://mybadbroker.com/brokers/finra-disciplinary-action-cvex-markets-llc-membership-cancelled-for-failure-to-pay-dues2024-03-01 https://mybadbroker.com/brokers/william-david-williford-barred-for-refusing-to-testify-about-covid-loan-application2024-02-29 https://mybadbroker.com/brokers/arcview-capital-fined-25000-for-net-capital-violations2024-02-29 https://mybadbroker.com/brokers/megurditch-mike-patatian-barred-and-ordered-to-pay-458418-for-unsuitable-investment-recommendations2024-02-28 https://mybadbroker.com/brokers/lucas-r-mroz-suspended-45-days-for-unauthorized-transactions-based-on-instructions-from-non-authorized-individual2024-02-27 https://mybadbroker.com/brokers/ramses-david-visher-suspended-four-months-for-negligent-misrepresentations-in-private-placement-offerings2024-02-26 https://mybadbroker.com/brokers/yuqing-lin-suspended-for-falsely-certifying-completion-of-continuing-education2024-02-26 https://mybadbroker.com/brokers/maureen-joann-damico-suspended-for-falsely-certifying-completion-of-continuing-education2024-02-26 https://mybadbroker.com/brokers/ashley-marie-curreri-suspended-for-falsely-certifying-completion-of-continuing-education2024-02-26 https://mybadbroker.com/brokers/matthew-alexander-sinclair-barred-for-document-falsification-and-refusing-to-cooperate2024-02-26 https://mybadbroker.com/brokers/damian-mark-baird-barred-for-refusing-to-cooperate-with-multiple-finra-investigations2024-02-26 https://mybadbroker.com/brokers/michael-craig-brickman-barred-for-refusing-to-cooperate-with-finra-investigation2024-02-23 https://mybadbroker.com/brokers/michael-ryan-petruska-charged-with-failing-to-disclose-felony-charge2024-02-21 https://mybadbroker.com/brokers/lori-fleischhacker-copeland-barred-for-refusing-to-cooperate-with-outside-business-activities-investigation2024-02-21 https://mybadbroker.com/brokers/vincent-joseph-cagnina-suspended-for-falsely-certifying-completion-of-continuing-education2024-02-20 https://mybadbroker.com/brokers/darren-michael-kubiak-barred-for-failing-to-appear-for-finra-testimony2024-02-20 https://mybadbroker.com/brokers/jeffrey-wayne-davidson-suspended-21-months-for-undisclosed-private-offering2024-02-16 https://mybadbroker.com/brokers/ceros-financial-services-fined-75000-for-email-supervision-and-data-security-failures2024-02-14 https://mybadbroker.com/brokers/david-victor-tall-barred-for-refusing-to-cooperate-with-finra-investigation2024-02-13 https://mybadbroker.com/brokers/tradestation-securities-fined-700000-for-aml-program-deficiencies2024-02-09 https://mybadbroker.com/brokers/for-investors2024-02-08 https://mybadbroker.com/brokers/matt-ward-suspended-for-exercising-unauthorized-discretion-in-customer-accounts2024-02-07 https://mybadbroker.com/brokers/sarvendra-harkishun-suspended-four-months-for-failing-to-disclose-outside-brokerage-accounts2024-02-07 https://mybadbroker.com/brokers/morgan-stanley-fined-1-6-million-for-municipal-securities-violations2024-02-06 https://mybadbroker.com/brokers/goldman-sachs-co-llc-fined-512500-for-supervisory-failures-in-surveillance-systems2024-02-06 https://mybadbroker.com/brokers/salvatore-anthony-larocca-suspended-for-falsely-certifying-completion-of-continuing-education2024-02-05 https://mybadbroker.com/brokers/brett-arthur-hartvigson-barred-for-refusing-to-cooperate-with-finra-investigation2024-02-05 https://mybadbroker.com/brokers/timothy-william-leveroni-suspended-for-allowing-others-to-sign-his-name-on-account-documents2024-02-02 https://mybadbroker.com/brokers/brian-c-shevland-suspended-one-year-for-negligent-misrepresentations-about-fund-performance2024-02-01 https://mybadbroker.com/brokers/luke-michael-johnson-suspended-18-months-for-unsuitable-alternative-investment-recommendations-and-falsifying-records2024-02-01 https://mybadbroker.com/brokers/linda-chan-suspended-for-falsely-certifying-completion-of-continuing-education2024-02-01 https://mybadbroker.com/brokers/finra-suspends-bruce-allen-rathkamp-for-forging-customer-and-representative-signatures-on-account-documents2024-01-31 https://mybadbroker.com/brokers/finra-suspends-willie-j-rosser-sr-for-borrowing-money-from-customers-without-firm-approval2024-01-30 https://mybadbroker.com/brokers/gabriela-chanel-alfaro-barred-by-finra-for-failure-to-provide-information2024-01-29 https://mybadbroker.com/brokers/finra-fines-academy-securities-inc-30000-for-late-and-inaccurate-form-g-37-filings2024-01-29 https://mybadbroker.com/brokers/shaquane-smith-thompson-suspended-by-finra-for-failure-to-provide-information2024-01-26 https://mybadbroker.com/brokers/finra-suspends-james-v-scheidel-jr-for-falsely-certifying-completion-of-insurance-continuing-education2024-01-26 https://mybadbroker.com/brokers/finra-bars-christina-d-peterman-for-refusing-to-cooperate-with-investigation2024-01-26 https://mybadbroker.com/brokers/finra-suspends-barbara-suzan-savin-for-falsely-certifying-completion-of-insurance-continuing-education2024-01-25 https://mybadbroker.com/brokers/finra-suspends-charles-jay-gross-for-falsely-certifying-completion-of-insurance-continuing-education2024-01-25 https://mybadbroker.com/brokers/finra-suspends-thakoor-ben-balkaran-for-falsely-certifying-completion-of-insurance-continuing-education2024-01-25 https://mybadbroker.com/brokers/finra-fines-voya-financial-advisors-inc-500000-for-paying-transaction-based-compensation-to-unregistered-entity2024-01-25 https://mybadbroker.com/brokers/finra-suspends-kimberly-ann-carson-for-obtaining-unapproved-loan-from-customer2024-01-24 https://mybadbroker.com/brokers/sylviah-kemunto-suspended-by-finra-for-failure-to-provide-information2024-01-22 https://mybadbroker.com/brokers/finra-bars-michael-archimede-for-failing-to-cooperate-with-investigation2024-01-22 https://mybadbroker.com/brokers/finra-fines-terranova-capital-equities-inc-25000-for-participating-in-unregistered-securities-distributions2024-01-22 https://mybadbroker.com/brokers/finra-suspends-tory-a-duggins-for-excessive-trading-and-willful-failure-to-disclose-customer-complaint2024-01-19 https://mybadbroker.com/brokers/finra-fines-wells-fargo-securities-llc-425000-for-trade-confirmation-disclosure-failures2024-01-19 https://mybadbroker.com/brokers/finra-fines-rockefeller-financial-llc-100000-for-failing-to-disclose-mark-up-and-mark-down-information2024-01-19 https://mybadbroker.com/brokers/carlos-ramirez-suspended-by-finra-for-failure-to-provide-information2024-01-18 https://mybadbroker.com/brokers/finra-suspends-lucas-r-hales-for-undisclosed-private-securities-transactions2024-01-18 https://mybadbroker.com/brokers/finra-suspends-lincoln-lucas-mason-for-undisclosed-outside-business-activity-and-providing-false-documents-to-firm2024-01-17 https://mybadbroker.com/brokers/finra-suspends-rajen-duggal-for-undisclosed-outside-business-activity-and-false-statements2024-01-17 https://mybadbroker.com/brokers/finra-fines-rcx-capital-group-llc-35000-for-misleading-private-placement-memorandum2024-01-17 https://mybadbroker.com/brokers/richard-lynn-goldston-barred-by-finra-for-failure-to-provide-information2024-01-16 https://mybadbroker.com/brokers/stalin-alfredo-cruz-barred-by-finra-for-failure-to-provide-information2024-01-16 https://mybadbroker.com/brokers/finra-suspends-lee-harold-rycraft-for-forging-customer-signatures-on-account-documents2024-01-16 https://mybadbroker.com/brokers/finra-suspends-doron-kochavi-for-mischaracterizing-securities-transactions2024-01-16 https://mybadbroker.com/brokers/finra-suspends-brad-curtis-brooks-for-negligent-misrepresentations-to-private-placement-investors2024-01-16 https://mybadbroker.com/brokers/finra-suspends-taibat-abiola-awokoya-for-possessing-unauthorized-materials-during-series-7-exam2024-01-16 https://mybadbroker.com/brokers/finra-fines-vision-financial-markets-llc-30000-for-over-tendering-in-partial-tender-offer-and-supervisory-failures2024-01-16 https://mybadbroker.com/brokers/finra-fines-landolt-securities-inc-25000-for-failures-in-supervising-electronic-communications2024-01-16 https://mybadbroker.com/brokers/finra-suspends-jonathan-arthur-mayer-for-unapproved-outside-business-activity2024-01-12 https://mybadbroker.com/brokers/david-jeffrey-morris-suspended-by-finra-for-failure-to-comply-with-arbitration-award2024-01-11 https://mybadbroker.com/brokers/timothy-james-breslin-suspended-by-finra-for-failure-to-comply-with-arbitration-award2024-01-11 https://mybadbroker.com/brokers/isaiah-frection-barred-by-finra-for-failure-to-provide-information2024-01-09 https://mybadbroker.com/brokers/michael-philip-capolongo-barred-by-finra-for-failure-to-provide-information2024-01-09 https://mybadbroker.com/brokers/finra-sanctions-matthew-robert-wilkow-for-falsifying-continuing-education-certification2024-01-09 https://mybadbroker.com/brokers/finra-sanctions-michael-hartnagel-jr-for-falsifying-continuing-education-certification2024-01-09 https://mybadbroker.com/brokers/finra-sanctions-chaitanya-goyal-for-possessing-prohibited-item-during-exam2024-01-09 https://mybadbroker.com/brokers/finra-bars-tilak-j-shah-for-refusing-to-provide-testimony2024-01-09 https://mybadbroker.com/brokers/quintosha-thomas-suspended-by-finra-for-failure-to-provide-information2024-01-08 https://mybadbroker.com/brokers/monu-joseph-suspended-by-finra-for-failure-to-provide-information2024-01-08 https://mybadbroker.com/brokers/brian-hall-suspended-by-finra-for-failure-to-provide-information2024-01-08 https://mybadbroker.com/brokers/brittany-anderson-suspended-by-finra-for-failure-to-provide-information2024-01-08 https://mybadbroker.com/brokers/kwame-adusei-suspended-by-finra-for-failure-to-provide-information2024-01-08 https://mybadbroker.com/brokers/brittny-ann-stagnitto-barred-by-finra-for-failure-to-provide-information2024-01-08 https://mybadbroker.com/brokers/adriano-schultz-barred-by-finra-for-failure-to-provide-information2024-01-08 https://mybadbroker.com/brokers/johnathan-paul-hagood-barred-by-finra-for-failure-to-provide-information2024-01-08 https://mybadbroker.com/brokers/finra-sanctions-maureen-a-odonnell-for-falsifying-continuing-education-certification2024-01-08 https://mybadbroker.com/brokers/finra-sanctions-tara-ann-nesdill-for-falsifying-continuing-education-certification2024-01-08 https://mybadbroker.com/brokers/finra-sanctions-michael-louis-esposito-for-falsifying-continuing-education-certification2024-01-08 https://mybadbroker.com/brokers/finra-sanctions-joseph-duffy-collins-for-falsifying-continuing-education-certification2024-01-08 https://mybadbroker.com/brokers/robin-k-johnson-suspended-by-finra-for-failure-to-comply-with-arbitration-award2024-01-05 https://mybadbroker.com/brokers/gianluca-de-berardinis-suspended-by-finra-for-failure-to-provide-information2024-01-05 https://mybadbroker.com/brokers/cvex-markets-llc-suspended-by-finra-for-failure-to-provide-information2024-01-05 https://mybadbroker.com/brokers/finra-files-complaint-against-austin-richard-dutton-jr-alleging-unsuitable-alternative-investment-recommendations-and-falsification-of-records2024-01-05 https://mybadbroker.com/brokers/finra-fines-ubs-financial-services-inc-100000-for-municipal-securities-reporting-failures2024-01-05 https://mybadbroker.com/brokers/finra-fines-mma-securities-llc-30000-for-supervisory-failures-related-to-outside-business-activities2024-01-05 https://mybadbroker.com/brokers/jason-mark-kurtz-suspended-by-finra-for-failure-to-comply-with-arbitration-award2024-01-04 https://mybadbroker.com/brokers/finra-sanctions-david-adam-elgart-for-operating-while-statutorily-disqualified2024-01-04 https://mybadbroker.com/brokers/finra-suspends-kabir-h-ali-for-possessing-unauthorized-materials-during-exam2024-01-04 https://mybadbroker.com/brokers/michael-fasciglione-barred-by-finra-for-failure-to-provide-information2024-01-02 https://mybadbroker.com/brokers/cvex-markets-llc-suspended-by-finra-for-failure-to-meet-eligibility-standards2024-01-02 https://mybadbroker.com/brokers/finra-sanctions-jimmy-j-galindo-for-inaccurate-books-and-records2024-01-02 https://mybadbroker.com/brokers/bofa-securities-fined-24-million-for-treasury-securities-spoofing2024-01-01 https://mybadbroker.com/brokers/wilson-davis-co-sanctioned-for-short-selling-and-aml-violations2023-12-28 https://mybadbroker.com/brokers/lpl-financial-fined-5-5-million-for-supervisory-and-reg-bi-failures2023-12-27 https://mybadbroker.com/brokers/mitchell-morrison-suspended-for-undisclosed-private-securities-transactions2023-12-22 https://mybadbroker.com/brokers/westpark-capital-sanctioned-for-aml-failures-and-unethical-conduct2023-12-22 https://mybadbroker.com/brokers/interactive-brokers-fined-3-5-million-for-best-execution-failures2023-12-22 https://mybadbroker.com/brokers/frederick-watson-suspended-for-undisclosed-outside-business-activity-as-executor2023-12-21 https://mybadbroker.com/brokers/ronald-bucher-barred-for-failing-to-provide-customer-communications2023-12-21 https://mybadbroker.com/brokers/cladius-tokunboh-barred-for-refusing-to-testify-about-outside-activities2023-12-20 https://mybadbroker.com/brokers/louis-goff-barred-for-refusing-to-provide-information-to-finra2023-12-20 https://mybadbroker.com/brokers/todd-anderson-barred-for-failing-to-provide-information-about-annuity-application2023-12-20 https://mybadbroker.com/brokers/purshe-kaplan-failed-to-disclose-material-information-about-investments2023-12-20 https://mybadbroker.com/brokers/felipe-henao-suspended-for-unauthorized-discretionary-trade-and-using-unapproved-communication2023-12-19 https://mybadbroker.com/brokers/carl-cirelli-suspended-for-unauthorized-trading-in-deceased-customer-account2023-12-19 https://mybadbroker.com/brokers/william-rankin-barred-for-failing-to-provide-information-about-ira-recommendation2023-12-19 https://mybadbroker.com/brokers/daniel-beech-accused-of-paying-commissions-to-unregistered-person2023-12-18 https://mybadbroker.com/brokers/robert-tweed-bar-remanded-for-reconsideration-of-sanctions2023-12-18 https://mybadbroker.com/brokers/yann-faho-suspended-for-using-personal-phone-for-securities-communications2023-12-15 https://mybadbroker.com/brokers/john-petrone-barred-for-refusing-to-provide-information-about-elderly-customer2023-12-15 https://mybadbroker.com/brokers/anthony-cantone-barred-for-refusing-to-testify-about-low-priced-securities2023-12-15 https://mybadbroker.com/brokers/rcm-securities-failed-to-file-accurate-client-relationship-summary2023-12-15 https://mybadbroker.com/brokers/elevation-llc-fined-for-failing-to-monitor-fraudulent-trading2023-12-15 https://mybadbroker.com/brokers/keith-baron-accused-of-misrepresentations-and-undisclosed-conflicts2023-12-14 https://mybadbroker.com/brokers/kevin-barry-suspended-18-months-for-possessing-cell-phone-during-series-7-exam2023-12-14 https://mybadbroker.com/brokers/eric-kubiak-barred-for-refusing-to-provide-crypto-related-information2023-12-14 https://mybadbroker.com/brokers/anna-schendra-suspended-18-months-for-accessing-materials-during-series-7-exam2023-12-13 https://mybadbroker.com/brokers/alexandria-bovee-barred-for-refusing-finra-testimony2023-12-13 https://mybadbroker.com/brokers/darren-ting-suspended-for-unauthorized-discretionary-trading-and-mismarking-trades2023-12-12 https://mybadbroker.com/brokers/john-ordonez-suspended-13-months-for-backdating-documents-submitted-to-finra2023-12-12 https://mybadbroker.com/brokers/joseph-savasta-suspended-for-failing-to-disclose-felony-charges-and-guilty-pleas2023-12-11 https://mybadbroker.com/brokers/hrt-financial-over-tendered-shares-and-gained-unlawful-profits2023-12-08 https://mybadbroker.com/brokers/arthur-mcquaide-suspended-for-excessive-and-unsuitable-trading2023-12-07 https://mybadbroker.com/brokers/southeast-investments-and-frank-black-fined-for-email-retention-failures2023-12-07 https://mybadbroker.com/brokers/srt-securities-failed-to-supervise-outside-business-activities2023-12-06 https://mybadbroker.com/brokers/matthew-mierzycki-suspended-for-discretionary-trading-and-disclosure-failures2023-12-05 https://mybadbroker.com/brokers/david-korsnack-barred-for-cheating-on-series-7-exam2023-12-05 https://mybadbroker.com/brokers/william-godfrey-barred-for-refusing-to-testify-about-annuity-exchanges2023-12-05 https://mybadbroker.com/brokers/windmill-group-charged-excessive-commissions-to-customers2023-12-05 https://mybadbroker.com/brokers/daniel-vatterott-suspended-six-months-for-falsifying-trade-records2023-12-04 https://mybadbroker.com/brokers/justin-parkhurst-suspended-for-falsifying-trade-records2023-12-04 https://mybadbroker.com/brokers/jacob-frankel-suspended-for-failing-to-disclose-felony-charges-and-taking-customer-information2023-12-04 https://mybadbroker.com/brokers/estevao-semedo-barred-for-non-cooperation-with-finra2023-12-04 https://mybadbroker.com/brokers/the-over-1-million-in-restitution-compensates-customers-whose-securities-were-lent-over-dividend-dates-and-who-potentially-suffered-adverse-tax-consequences-this-case-illustrates-the-importance-of-m2023-12-01 https://mybadbroker.com/brokers/joe-gainer-barred-for-refusing-finra-testimony2023-12-01 https://mybadbroker.com/brokers/john-dougherty-barred-for-failing-to-provide-information-to-finra2023-12-01 https://mybadbroker.com/brokers/benchmark-company-fined-for-research-information-control-failures2023-12-01 https://mybadbroker.com/brokers/malay-kumar-suspended-for-unsuitable-variable-annuity-exchanges-causing-50000-in-surrender-fees2023-11-30 https://mybadbroker.com/brokers/forrest-addington-wester-barred-for-refusing-to-provide-information-about-potential-misappropriation2023-11-30 https://mybadbroker.com/brokers/tiaa-cref-fined-125000-for-customer-complaint-reporting-failures2023-11-30 https://mybadbroker.com/brokers/alterna-securities-fined-for-inadequate-supervision-of-pre-arranged-trading2023-11-30 https://mybadbroker.com/brokers/john-patterson-corey-suspended-for-impersonating-customer-in-phone-calls2023-11-29 https://mybadbroker.com/brokers/melton-weaver-iii-suspended-for-undisclosed-outside-business-activity2023-11-28 https://mybadbroker.com/brokers/ian-james-prukner-suspended-for-undisclosed-outside-business-activity2023-11-28 https://mybadbroker.com/brokers/stephen-j-lagreca-suspended-for-cheating-on-series-7-exam2023-11-28 https://mybadbroker.com/brokers/jake-louis-fruge-suspended-for-undisclosed-outside-business-activity2023-11-28 https://mybadbroker.com/brokers/kerry-lee-broderick-barred-for-refusing-to-testify-about-helping-representative-place-trades2023-11-28 https://mybadbroker.com/brokers/allied-millennial-partners-fined-for-failure-to-file-private-placement-documents2023-11-28 https://mybadbroker.com/brokers/jacob-pae-suspended-for-forging-customer-signatures-on-authorization-forms2023-11-27 https://mybadbroker.com/brokers/ronald-lewis-morse-suspended-for-forging-customer-signature-on-profile-document2023-11-27 https://mybadbroker.com/brokers/michael-maclean-suspended-for-changing-representative-codes-to-inflate-commissions2023-11-27 https://mybadbroker.com/brokers/robert-lee-golding-barred-for-refusing-to-provide-information-about-signature-forgeries2023-11-27 https://mybadbroker.com/brokers/td-private-client-wealth-fined-600000-for-email-supervision-failures2023-11-27 https://mybadbroker.com/brokers/cowen-and-company-fined-275000-for-rule-606-reporting-violations2023-11-27 https://mybadbroker.com/brokers/troy-allen-orlando-suspended-for-excessive-trading-causing-198000-in-losses2023-11-22 https://mybadbroker.com/brokers/scott-william-norvell-suspended-for-misrepresenting-annuity-benefits-and-forging-signatures2023-11-22 https://mybadbroker.com/brokers/joao-amorim-pinto-suspended-for-excessive-trading-causing-141000-in-losses2023-11-21 https://mybadbroker.com/brokers/frenise-ladawn-mann-suspended-for-forging-customer-signatures-and-impersonating-customer2023-11-21 https://mybadbroker.com/brokers/robert-allen-silvestri-barred-for-refusing-to-testify-about-borrowing-from-customer2023-11-21 https://mybadbroker.com/brokers/david-ross-stuart-suspended-for-paying-referral-fees-to-barred-individual2023-11-20 https://mybadbroker.com/brokers/sara-yasmin-qazi-suspended-for-undisclosed-private-securities-transaction-and-improper-communications2023-11-20 https://mybadbroker.com/brokers/hector-jesus-hernandez-barred-for-refusing-to-testify-about-outside-business-activity2023-11-20 https://mybadbroker.com/brokers/christopher-booth-kennedy-barred-for-churning-accounts-and-creating-fake-statements2023-11-17 https://mybadbroker.com/brokers/jeffrey-allen-russell-suspended-for-unauthorized-transactions-in-customer-accounts2023-11-16 https://mybadbroker.com/brokers/keith-m-curtis-barred-for-refusing-to-testify-about-potential-conversion-of-funds2023-11-16 https://mybadbroker.com/brokers/morgan-stanley-smith-barney-fined-400000-for-prospectus-delivery-failures2023-11-16 https://mybadbroker.com/brokers/john-ginsburg-suspended-for-adding-information-to-signed-customer-forms2023-11-15 https://mybadbroker.com/brokers/robert-joseph-dehayes-suspended-for-maintaining-secret-outside-account-for-prohibited-options-trading2023-11-15 https://mybadbroker.com/brokers/edward-steven-mercer-barred-for-refusing-to-testify-about-crypto-investment2023-11-15 https://mybadbroker.com/brokers/wedbush-securities-fined-350000-for-fraudulent-wire-transfer-supervision-failures2023-11-15 https://mybadbroker.com/brokers/jilena-yuen-han-mok-suspended-for-unauthorized-trading-and-exercising-discretion2023-11-14 https://mybadbroker.com/brokers/richard-diarenzo-barred-for-refusing-to-provide-information-and-testimony2023-11-14 https://mybadbroker.com/brokers/h-c-wainwright-fined-200000-for-net-capital-deficiencies2023-11-14 https://mybadbroker.com/brokers/john-roddy-hughes-suspended-for-maintaining-undisclosed-outside-securities-account2023-11-13 https://mybadbroker.com/brokers/royal-gregory-fisher-suspended-for-acting-as-fiduciary-and-accepting-beneficiary-designation2023-11-13 https://mybadbroker.com/brokers/robert-william-clayton-jr-suspended-for-mismarking-order-tickets2023-11-13 https://mybadbroker.com/brokers/fedelyne-cemoin-suspended-for-failing-to-disclose-felony-fraud-charge2023-11-13 https://mybadbroker.com/brokers/puma-capital-fined-100000-for-trade-through-violations2023-11-13 https://mybadbroker.com/brokers/haywood-securities-fined-175000-for-inadequate-due-diligence-and-reg-bi-violations2023-11-13 https://mybadbroker.com/brokers/home-financial-services-fined-50000-for-municipal-securities-disclosure-violations2023-11-09 https://mybadbroker.com/brokers/commonwealth-australia-securities-fined-for-trace-reporting-violations2023-11-09 https://mybadbroker.com/brokers/parsonex-capital-markets-fined-for-form-crs-disclosure-violations2023-11-08 https://mybadbroker.com/brokers/john-benjamin-nelson-suspended-for-forging-business-partners-signature2023-11-07 https://mybadbroker.com/brokers/megurditch-mike-patatian-barred-and-ordered-to-disgorge-over-458000-for-unsuitable-reit-and-annuity-recommendations2023-11-07 https://mybadbroker.com/brokers/robert-emmett-marquez-barred-for-refusing-to-testify2023-11-06 https://mybadbroker.com/brokers/john-michael-fagan-barred-for-refusing-to-testify2023-11-06 https://mybadbroker.com/brokers/virginia-davicino-barred-for-refusing-to-provide-information2023-11-06 https://mybadbroker.com/brokers/tradition-securities-fined-140000-for-order-recording-and-risk-management-failures2023-11-06 https://mybadbroker.com/brokers/robert-w-baird-ordered-to-pay-over-519000-in-restitution-for-mutual-fund-sales-charge-failures2023-11-06 https://mybadbroker.com/brokers/decker-co-fined-for-net-capital-and-aml-violations2023-11-06 https://mybadbroker.com/brokers/brian-keith-shey-suspended-for-failing-to-disclose-felony-insurance-fraud-charges2023-11-03 https://mybadbroker.com/brokers/james-samuel-hanson-suspended-for-failing-to-disclose-felony-charges2023-11-03 https://mybadbroker.com/brokers/suns-brothers-securities-fined-for-anti-money-laundering-program-failures2023-11-03 https://mybadbroker.com/brokers/bolton-global-capital-fined-75000-for-cybersecurity-failures2023-11-03 https://mybadbroker.com/brokers/william-savary-suspended-for-undisclosed-private-securities-transactions2023-11-02 https://mybadbroker.com/brokers/ryan-adrian-morfin-suspended-for-unregistered-investment-banking-activities2023-11-01 https://mybadbroker.com/brokers/james-brett-stuart-charged-with-supervisory-failures-regarding-excessive-trading2023-10-27 https://mybadbroker.com/brokers/nathan-wilks-suspended-9-months-for-failing-to-disclose-judgments-and-falsifying-receipt2023-10-27 https://mybadbroker.com/brokers/salvatore-gambino-suspended-4-months-for-unsuitable-gpb-alternative-investment-recommendations2023-10-27 https://mybadbroker.com/brokers/brian-francis-giammona-suspended-3-months-for-falsifying-wire-transfer-documentation2023-10-26 https://mybadbroker.com/brokers/mark-bedros-beloyan-suspended-2-years-for-unregistered-securities-sales-and-aml-failures2023-10-26 https://mybadbroker.com/brokers/kevin-anthony-zappia-suspended-15-days-for-mismarking-order-tickets2023-10-25 https://mybadbroker.com/brokers/christian-thomas-holmes-suspended-5-months-for-forging-signature-on-leave-application2023-10-25 https://mybadbroker.com/brokers/electronic-transaction-clearing-fined-100000-for-registration-violations2023-10-23 https://mybadbroker.com/brokers/jose-luis-centeno-charged-with-falsifying-compliance-review-records2023-10-20 https://mybadbroker.com/brokers/odeon-capital-group-fined-100000-for-trade-reporting-violations2023-10-20 https://mybadbroker.com/brokers/richard-evans-leininger-suspended-2-months-for-mismarking-order-tickets2023-10-19 https://mybadbroker.com/brokers/bgc-financial-fined-200000-for-inadequate-spoofing-and-layering-surveillance2023-10-19 https://mybadbroker.com/brokers/philip-michael-connors-barred-for-refusing-to-appear-for-finra-testimony2023-10-18 https://mybadbroker.com/brokers/stewart-ginn-charged-with-churning-and-excessive-trading-of-customer-accounts2023-10-17 https://mybadbroker.com/brokers/beliveau-bays-charged-with-forgery-and-providing-false-information2023-10-17 https://mybadbroker.com/brokers/nicholas-blake-williams-suspended-1-month-for-recording-inaccurate-order-information2023-10-17 https://mybadbroker.com/brokers/gerald-michael-taylor-suspended-3-months-for-undisclosed-outside-activities-and-account-violations2023-10-17 https://mybadbroker.com/brokers/todd-morris-mezrah-suspended-20-days-for-misleading-investment-emails2023-10-17 https://mybadbroker.com/brokers/kenneth-john-arellano-suspended-30-days-for-using-unapproved-messaging-service2023-10-17 https://mybadbroker.com/brokers/james-michael-green-barred-for-refusing-to-provide-documents-to-finra2023-10-17 https://mybadbroker.com/brokers/lee-michael-generous-suspended-3-months-for-signature-falsification-and-inaccurate-records2023-10-16 https://mybadbroker.com/brokers/nicholas-michael-caruso-suspended-3-months-for-excessive-trading-violating-reg-bi2023-10-12 https://mybadbroker.com/brokers/frank-l-martin-suspended-3-months-for-supervisory-failures-enabling-excessive-trading2023-10-11 https://mybadbroker.com/brokers/arun-kumar-aggarwal-suspended-2-months-for-unauthorized-discretionary-trading2023-10-11 https://mybadbroker.com/brokers/james-r-dickie-suspended-8-months-for-oba-violations-and-form-u4-misrepresentations2023-10-10 https://mybadbroker.com/brokers/arni-jay-diamond-suspended-4-months-for-unsuitable-alternative-investment-recommendations2023-10-09 https://mybadbroker.com/brokers/jorge-hernandez-barred-for-refusing-to-provide-information-about-outside-business-activities2023-10-09 https://mybadbroker.com/brokers/hsbc-securities-fined-2-million-for-research-report-disclosure-violations2023-10-09 https://mybadbroker.com/brokers/scott-michael-bremus-suspended-6-months-for-undisclosed-private-securities-transaction2023-10-06 https://mybadbroker.com/brokers/todd-michael-lesk-barred-for-refusing-to-cooperate-with-crypto-investigation2023-10-06 https://mybadbroker.com/brokers/robert-l-jones-barred-for-failing-to-provide-documents-to-finra2023-10-06 https://mybadbroker.com/brokers/elizabeth-ashley-nichols-suspended-18-months-for-series-7-exam-cheating2023-10-05 https://mybadbroker.com/brokers/vivek-tangudu-barred-for-refusing-finra-testimony2023-10-04 https://mybadbroker.com/brokers/james-p-pelletiere-barred-for-refusing-to-cooperate-with-finra-investigation2023-10-04 https://mybadbroker.com/brokers/ravid-gold-suspended-30-days-for-circumventing-cross-trade-requirements2023-10-03 https://mybadbroker.com/brokers/john-david-sullivan-charged-with-failing-to-provide-documents-in-check-kiting-investigation2023-10-02 https://mybadbroker.com/brokers/justin-thomas-maher-suspended-12-months-for-undisclosed-crypto-activities2023-10-02 https://mybadbroker.com/brokers/dima-munzer-abdulnour-suspended-18-months-for-series-7-exam-cheating2023-10-02 https://mybadbroker.com/brokers/fidelity-brokerage-services-llc-fined-900000-for-options-trading-approval-failures2023-10-02 https://mybadbroker.com/brokers/damian-baird-accused-of-failing-to-cooperate-with-finra-investigations2023-09-29 https://mybadbroker.com/brokers/santander-us-capital-markets-fined-for-mnpi-and-section-5-supervision-failures2023-09-29 https://mybadbroker.com/brokers/maxim-group-fined-500000-for-section-5-and-aml-failures2023-09-29 https://mybadbroker.com/brokers/cody-roos-suspended-for-forging-customer-signatures2023-09-28 https://mybadbroker.com/brokers/jean-st-pierre-suspended-for-failing-to-disclose-felony-charge-and-conviction2023-09-27 https://mybadbroker.com/brokers/alan-donenfeld-barred-for-failing-to-testify-about-outside-business-activity2023-09-27 https://mybadbroker.com/brokers/citigroup-fined-2-5-million-and-ordered-to-disgorge-5-7-million-for-over-tendering-shares2023-09-26 https://mybadbroker.com/brokers/adam-anderson-suspended-for-undisclosed-outside-business-activity2023-09-25 https://mybadbroker.com/brokers/rodney-ferruso-barred-for-failing-to-testify-about-mutual-fund-trading2023-09-25 https://mybadbroker.com/brokers/sebastian-puznowski-suspended-by-finra-for-failure-to-provide-information2023-09-25 https://mybadbroker.com/brokers/christopher-kennedy-accused-of-churning-customer-accounts-and-making-fake-statements2023-09-22 https://mybadbroker.com/brokers/william-ard-suspended-for-misleading-communications-and-false-statements2023-09-22 https://mybadbroker.com/brokers/goldman-sachs-fined-6-million-for-blue-sheet-reporting-failures2023-09-22 https://mybadbroker.com/brokers/john-pelletier-accused-of-unauthorized-trading-in-customer-ira2023-09-21 https://mybadbroker.com/brokers/ronald-smith-barred-for-failing-to-produce-documents-in-customer-complaint-investigation2023-09-21 https://mybadbroker.com/brokers/pierre-hilario-barred-for-failing-to-cooperate-with-private-placement-investigation2023-09-21 https://mybadbroker.com/brokers/leslie-jackson-barred-for-selling-away-and-false-compliance-responses2023-09-19 https://mybadbroker.com/brokers/elba-nogueras-suspended-for-regulation-best-interest-violation2023-09-18 https://mybadbroker.com/brokers/ron-filoramo-barred-for-failing-to-cooperate-with-fraud-investigation2023-09-18 https://mybadbroker.com/brokers/tp-icap-global-markets-fined-for-trace-reporting-violations2023-09-18 https://mybadbroker.com/brokers/gustavo-rodrigo-suspended-for-unauthorized-discretionary-trading2023-09-13 https://mybadbroker.com/brokers/andrew-maynerich-suspended-for-falsifying-customer-documents2023-09-13 https://mybadbroker.com/brokers/jeffrey-kirkpatrick-suspended-for-falsifying-wire-transfer-form-and-off-channel-communications2023-09-12 https://mybadbroker.com/brokers/robert-stansky-barred-for-failing-to-provide-testimony-to-finra2023-09-12 https://mybadbroker.com/brokers/citigroup-global-markets-fined-for-inaccurate-trade-confirmations2023-09-11 https://mybadbroker.com/brokers/charles-shields-suspended-for-unauthorized-discretionary-trading2023-09-08 https://mybadbroker.com/brokers/michael-clarke-barred-by-sec-for-conversion-and-misrepresentations2023-09-08 https://mybadbroker.com/brokers/electronic-transaction-clearing-fined-3-million-for-supervision-and-aml-failures2023-09-08 https://mybadbroker.com/brokers/anthony-cross-suspended-for-unauthorized-discretionary-trading2023-09-05 https://mybadbroker.com/brokers/kevin-carroll-suspended-for-unauthorized-borrowing-and-discretionary-trading2023-09-05 https://mybadbroker.com/brokers/stephen-takeda-barred-for-failing-to-cooperate-with-finra-investigation2023-09-05 https://mybadbroker.com/brokers/joseph-quintons-barred-for-failing-to-cooperate-with-finra2023-09-05 https://mybadbroker.com/brokers/ethan-martin-barred-for-converting-customer-funds2023-09-05 https://mybadbroker.com/brokers/traderfield-securities-fined-for-supervision-failures-and-mario-divita-suspended2023-09-05 https://mybadbroker.com/brokers/richard-s-siminou-suspended-four-months-for-excessive-trading-of-elderly-customer-accounts2023-08-31 https://mybadbroker.com/brokers/lebenthal-financial-services-fined-for-failures-in-supervising-consolidated-reports2023-08-31 https://mybadbroker.com/brokers/network-1-financial-securities-and-michael-molinaro-fined-for-excessive-trading-supervision-failures2023-08-31 https://mybadbroker.com/brokers/j-richard-matheis-barred-for-refusing-to-testify-to-finra2023-08-24 https://mybadbroker.com/brokers/wesley-howard-triani-barred-for-refusing-to-provide-information-to-finra2023-08-23 https://mybadbroker.com/brokers/brokerbank-securities-expelled-and-philip-paul-wright-barred-for-allowing-unregistered-person-to-conduct-securities-business2023-08-18 https://mybadbroker.com/brokers/cantor-fitzgerald-fined-100000-for-rule-606-reporting-failures2023-08-17 https://mybadbroker.com/brokers/instinet-fined-3-8-million-for-massive-consolidated-audit-trail-reporting-failures2023-08-16 https://mybadbroker.com/brokers/goldman-sachs-fined-425000-for-large-options-positions-reporting-failures2023-08-16 https://mybadbroker.com/brokers/corecap-investments-fined-for-operating-more-offices-than-permitted-without-finra-approval2023-08-15 https://mybadbroker.com/brokers/robert-juan-escobio-barred-by-sec-for-refusing-to-cooperate-with-finra-investigation2023-08-11 https://mybadbroker.com/brokers/lucy-yi-lin-barred-for-refusing-to-provide-information-to-finra2023-08-10 https://mybadbroker.com/brokers/stratcap-securities-fined-for-operating-below-minimum-net-capital-requirements2023-08-10 https://mybadbroker.com/brokers/bryan-adem-joseph-suspended-18-months-for-cheating-on-series-7-exam2023-08-09 https://mybadbroker.com/brokers/vincent-pucciarelli-jr-barred-for-refusing-to-testify-to-finra2023-08-09 https://mybadbroker.com/brokers/raymond-william-clark-barred-for-refusing-to-testify-to-finra2023-08-09 https://mybadbroker.com/brokers/kevin-joe-hall-suspended-four-months-for-misusing-firm-funds2023-08-08 https://mybadbroker.com/brokers/michael-ramon-delao-suspended-three-months-for-failing-to-disclose-felony-charge2023-08-08 https://mybadbroker.com/brokers/lickhai-quach-barred-for-refusing-to-provide-information-to-finra2023-08-07 https://mybadbroker.com/brokers/suzanne-marie-capellini-barred-for-providing-false-information-and-aml-program-failures2023-08-04 https://mybadbroker.com/brokers/shane-nowosacki-suspended-one-month-for-unapproved-outside-business-activity2023-08-04 https://mybadbroker.com/brokers/bradley-thomas-wastler-suspended-10-months-for-forging-customer-signatures2023-08-03 https://mybadbroker.com/brokers/robert-vincent-judge-suspended-four-months-for-permitting-signature-falsification2023-08-03 https://mybadbroker.com/brokers/timothy-james-breslin-barred-for-providing-falsified-documents-and-false-testimony-to-finra2023-08-03 https://mybadbroker.com/brokers/lilia-nia-suspended-one-year-for-effecting-unauthorized-transactions-in-bank-account2023-08-02 https://mybadbroker.com/brokers/william-henry-weisbrod-barred-for-breaching-fiduciary-duties-and-fraud2023-08-02 https://mybadbroker.com/brokers/ashley-fenderson-barred-for-refusing-to-provide-information-to-finra2023-08-01 https://mybadbroker.com/brokers/darren-michael-kubiak-accused-of-failing-to-testify-about-unsuitable-limited-partnership-recommendations2023-07-27 https://mybadbroker.com/brokers/howard-stuart-rothman-suspended-for-misleading-testimony-at-finra-arbitration2023-07-27 https://mybadbroker.com/brokers/robert-charles-starnes-barred-for-refusing-to-testify-about-customer-complaint2023-07-27 https://mybadbroker.com/brokers/david-harrison-miller-barred-for-refusing-to-testify-about-investment-suitability2023-07-27 https://mybadbroker.com/brokers/concorde-investment-services-fined-175000-for-securities-act-violations2023-07-27 https://mybadbroker.com/brokers/james-floyd-garraway-iii-suspended-for-forging-customer-signatures2023-07-26 https://mybadbroker.com/brokers/lpl-financial-fined-3-million-for-supervisory-failures-allowing-customer-fund-conversion2023-07-25 https://mybadbroker.com/brokers/gregory-edward-collins-suspended-for-unapproved-outside-business-activities2023-07-24 https://mybadbroker.com/brokers/miche-d-jean-barred-for-failing-to-cooperate-in-customer-conversion-investigation2023-07-24 https://mybadbroker.com/brokers/ocp-capital-fined-75000-for-books-and-records-violations2023-07-24 https://mybadbroker.com/brokers/eric-ryan-tartaglione-barred-for-refusing-to-testify-about-pre-ipo-private-placements2023-07-21 https://mybadbroker.com/brokers/instinet-fined-450000-for-regulation-nms-violations2023-07-21 https://mybadbroker.com/brokers/monmouth-capital-management-expelled-for-churning-customer-accounts-including-gold-star-families2023-07-20 https://mybadbroker.com/brokers/robert-spencer-gerstein-suspended-for-unsuitable-short-term-trading2023-07-20 https://mybadbroker.com/brokers/steven-marc-brakman-suspended-for-making-false-entries-to-avoid-compensation-losses2023-07-20 https://mybadbroker.com/brokers/john-charles-jacobsen-barred-for-failing-to-cooperate-with-revenue-allocation-investigation2023-07-19 https://mybadbroker.com/brokers/jeremiah-roman-suspended-for-private-securities-transactions-in-merchant-cash-advances2023-07-18 https://mybadbroker.com/brokers/logan-jeffrey-lapace-suspended-for-failing-to-disclose-felony-charges2023-07-18 https://mybadbroker.com/brokers/lynn-witherspoon-bryant-barred-for-refusing-to-testify-about-private-securities-transactions2023-07-18 https://mybadbroker.com/brokers/joseph-francis-bartosiewicz-jr-barred-for-failing-to-cooperate-with-finra-investigation2023-07-18 https://mybadbroker.com/brokers/daniel-m-king-suspended-for-unsuitable-use-of-margin-trading2023-07-17 https://mybadbroker.com/brokers/murat-kartal-suspended-for-unsuitably-and-excessively-trading-senior-customer-account2023-07-17 https://mybadbroker.com/brokers/drew-stegman-barred-for-refusing-to-complete-testimony-about-penny-stock-promotion2023-07-17 https://mybadbroker.com/brokers/nicholas-james-tocco-suspended-for-anti-money-laundering-program-failures2023-07-14 https://mybadbroker.com/brokers/james-tri-truong-suspended-for-failing-to-disclose-felony-charge2023-07-13 https://mybadbroker.com/brokers/luke-michael-johnson-accused-of-unsuitable-alternative-investment-recommendations-and-falsifying-documents2023-07-12 https://mybadbroker.com/brokers/eugene-hyunwook-kim-accused-of-misusing-customer-funds-in-private-placement-offering2023-07-11 https://mybadbroker.com/brokers/rbc-capital-markets-fined-250000-for-short-interest-reporting-violations2023-07-11 https://mybadbroker.com/brokers/merrill-lynch-fined-6-million-for-suspicious-activity-reporting-failures2023-07-11 https://mybadbroker.com/brokers/billy-pascal-stanage-jr-barred-for-failing-to-cooperate-with-outside-business-activity-investigation2023-07-10 https://mybadbroker.com/brokers/david-richard-geake-barred-for-private-securities-transaction-involving-elderly-investors2023-07-10 https://mybadbroker.com/brokers/ariya-pejouhesh-suspended-for-having-intern-complete-continuing-education-courses2023-07-07 https://mybadbroker.com/brokers/john-james-hoidas-suspended-for-unsuitable-recommendations-and-borrowing-from-customer2023-07-07 https://mybadbroker.com/brokers/christopher-f-harrington-jr-suspended-for-unsuitable-trading-to-inflate-compensation2023-07-07 https://mybadbroker.com/brokers/joseph-civiletti-suspended-for-receiving-undisclosed-compensation-for-power-of-attorney-role2023-07-07 https://mybadbroker.com/brokers/timothy-royce-bush-suspended-for-maintaining-unapproved-outside-investment-account2023-07-07 https://mybadbroker.com/brokers/kiffin-scott-anderson-suspended-for-falsifying-customer-signatures2023-07-07 https://mybadbroker.com/brokers/david-alan-snavely-barred-for-failing-to-cooperate-with-unsuitable-annuities-investigation2023-07-07 https://mybadbroker.com/brokers/thomas-phillip-simpson-barred-for-failing-to-cooperate-with-finra-investigation2023-07-07 https://mybadbroker.com/brokers/ronald-joseph-sagasser-barred-for-failing-to-cooperate-with-finra-investigation2023-07-06 https://mybadbroker.com/brokers/surage-kamal-roshan-perera-barred-for-refusing-to-testify-about-customer-fraud-allegations2023-07-06 https://mybadbroker.com/brokers/helen-grace-caldwell-barred-for-refusing-to-testify-in-finra-investigation2023-07-06 https://mybadbroker.com/brokers/dominic-joseph-carlo-suspended-for-unauthorized-discretionary-trading2023-07-05 https://mybadbroker.com/brokers/brad-michael-jacobson-barred-for-failing-to-cooperate-with-finra-investigation2023-07-05 https://mybadbroker.com/brokers/hightower-securities-fined-and-ordered-to-pay-restitution-for-gpb-capital-and-alternative-fund-violations2023-06-30 https://mybadbroker.com/brokers/douglas-blake-solinsky-suspended-for-excessive-and-unsuitable-trading2023-06-29 https://mybadbroker.com/brokers/jonathan-walter-way-barred-for-refusing-to-cooperate-with-investigation2023-06-29 https://mybadbroker.com/brokers/maurice-lawrence-naylon-iii-suspended-for-undisclosed-outside-business-activity2023-06-27 https://mybadbroker.com/brokers/ricky-alan-mantei-under-appeal-for-prearranged-trading-violations2023-06-27 https://mybadbroker.com/brokers/rogerio-t-almeida-suspended-for-undisclosed-outside-business-activity-as-mortgage-loan-officer2023-06-27 https://mybadbroker.com/brokers/open-to-the-public-investing-fined-500000-for-best-execution-failures2023-06-27 https://mybadbroker.com/brokers/bgc-financial-fined-for-regulation-sho-violations2023-06-27 https://mybadbroker.com/brokers/randall-george-skrabonja-barred-for-refusing-to-cooperate-with-investigation-into-selling-away2023-06-26 https://mybadbroker.com/brokers/james-anthony-iannazzo-charged-with-structuring-cash-transactions-to-avoid-reporting2023-06-23 https://mybadbroker.com/brokers/credit-suisse-fined-900000-for-trace-reporting-violations2023-06-23 https://mybadbroker.com/brokers/evercore-group-fined-100000-for-market-access-control-failures2023-06-22 https://mybadbroker.com/brokers/kimberly-a-sittarich-barred-for-refusing-to-cooperate-with-investigation-into-termination2023-06-21 https://mybadbroker.com/brokers/richard-martel-funderburk-barred-for-providing-fabricated-exam-score-report2023-06-21 https://mybadbroker.com/brokers/abbe-jan-wollins-suspended-for-unsuitable-recommendations-to-elderly-customers2023-06-20 https://mybadbroker.com/brokers/blake-adam-levy-suspended-for-unsuitable-recommendations-and-material-omissions2023-06-20 https://mybadbroker.com/brokers/jason-k-adams-suspended-for-undisclosed-outside-business-activity2023-06-20 https://mybadbroker.com/brokers/edward-beyn-barred-by-sec-for-excessive-trading-and-unsuitable-recommendations2023-06-19 https://mybadbroker.com/brokers/michelle-liao-wu-suspended-for-discretionary-trading-without-authorization2023-06-16 https://mybadbroker.com/brokers/thomas-alvin-vernor-iii-suspended-for-failing-to-disclose-felony-charge2023-06-15 https://mybadbroker.com/brokers/richard-f-spettell-suspended-for-causing-inaccurate-books-and-records2023-06-15 https://mybadbroker.com/brokers/andrew-m-komarow-barred-for-refusing-to-cooperate-with-investigation-into-account-fraud2023-06-15 https://mybadbroker.com/brokers/colin-jeremiah-healy-suspended-one-year-for-submitting-personal-expenses-for-reimbursement2023-06-14 https://mybadbroker.com/brokers/brody-ralph-bray-suspended-for-undisclosed-outside-business-activities-and-misleading-communications2023-06-14 https://mybadbroker.com/brokers/sharon-hayut-suspended-for-accepting-undisclosed-gifts-from-senior-customer2023-06-13 https://mybadbroker.com/brokers/roger-lee-arnold-barred-for-failing-to-cooperate-with-investigation-into-unauthorized-account-transactions2023-06-12 https://mybadbroker.com/brokers/letsgotrade-and-neville-golvala-fined-for-distributing-misleading-promotional-materials2023-06-09 https://mybadbroker.com/brokers/kale-kh-young-suspended-for-falsifying-customer-signatures2023-06-08 https://mybadbroker.com/brokers/td-ameritrade-clearing-fined-500000-for-confirmation-disclosure-failures2023-06-08 https://mybadbroker.com/brokers/charles-schwab-fined-350000-for-etn-confirmation-disclosure-failures2023-06-08 https://mybadbroker.com/brokers/d-wray-rodgers-barred-for-refusing-to-testify-about-outside-business-activity-and-potential-misuse-of-funds2023-06-07 https://mybadbroker.com/brokers/sean-pong-barred-for-refusing-to-testify-about-outside-business-activity2023-06-07 https://mybadbroker.com/brokers/jermaine-k-benjamin-barred-for-refusing-to-cooperate-with-investigation-into-customer-complaint2023-06-07 https://mybadbroker.com/brokers/jeremy-jefferson-jacobson-suspended-for-unauthorized-trading2023-06-06 https://mybadbroker.com/brokers/joanna-l-morgan-barred-for-refusing-to-cooperate-with-finra-investigation2023-06-06 https://mybadbroker.com/brokers/scott-jay-matalon-barred-for-refusing-to-provide-information-to-finra2023-06-06 https://mybadbroker.com/brokers/unionbanc-investment-services-fined-for-discovery-violations-in-arbitration2023-06-06 https://mybadbroker.com/brokers/adam-c-ellison-suspended-for-failing-to-disclose-felony-charge2023-06-05 https://mybadbroker.com/brokers/jeffrey-max-cohen-barred-for-refusing-to-cooperate-with-finra-investigation2023-06-05 https://mybadbroker.com/brokers/rbc-cma-llc-fined-870000-for-order-reporting-failures2023-06-05 https://mybadbroker.com/brokers/rbc-capital-markets-fined-for-inaccurate-order-reporting2023-06-05 https://mybadbroker.com/brokers/delaina-sue-kucish-suspended-15-months-for-using-unauthorized-text-messages-and-providing-false-information2023-06-01 https://mybadbroker.com/brokers/park-avenue-securities-fined-for-failure-to-investigate-undisclosed-outside-business-activities2023-05-31 https://mybadbroker.com/brokers/rande-scott-aaronson-suspended-for-failure-to-supervise-illiquid-partnership-sales2023-05-30 https://mybadbroker.com/brokers/kevin-cory-barred-for-misrepresentations-to-former-customers2023-05-26 https://mybadbroker.com/brokers/vanguard-marketing-corporation-fined-800000-for-providing-misleading-account-statements2023-05-25 https://mybadbroker.com/brokers/financial-security-management-fined-for-aml-program-deficiencies2023-05-24 https://mybadbroker.com/brokers/sidney-lebental-charged-with-spoofing-in-u-s-treasury-bond-trading2023-05-23 https://mybadbroker.com/brokers/matthew-eric-platnico-suspended-nine-months-for-unauthorized-and-unsuitable-options-trading2023-05-23 https://mybadbroker.com/brokers/antonino-giaccone-barred-for-cheating-on-series-7-exam2023-05-23 https://mybadbroker.com/brokers/lizbeth-saavedra-suspended-for-private-securities-transaction-and-undisclosed-outside-business-activities2023-05-22 https://mybadbroker.com/brokers/j-p-morgan-securities-fined-750000-for-market-access-control-failures2023-05-22 https://mybadbroker.com/brokers/mark-allen-brewer-suspended-for-improper-beneficiary-designation-scheme2023-05-19 https://mybadbroker.com/brokers/highlander-capital-group-fined-for-inaccurate-form-crs2023-05-19 https://mybadbroker.com/brokers/harpeth-securities-fined-for-failure-to-establish-reg-bi-and-form-crs-procedures2023-05-19 https://mybadbroker.com/brokers/axos-invest-fined-75000-for-false-form-crs-disclosures2023-05-19 https://mybadbroker.com/brokers/american-wealth-management-fined-for-inaccurate-form-crs-disclosures2023-05-19 https://mybadbroker.com/brokers/thomas-john-tedeschi-suspended-for-failure-to-disclose-felony-charges2023-05-18 https://mybadbroker.com/brokers/brian-edward-reilly-suspended-for-misrepresenting-identity-to-annuity-provider2023-05-18 https://mybadbroker.com/brokers/christopher-john-carpenter-barred-for-refusing-to-produce-documents2023-05-18 https://mybadbroker.com/brokers/dmk-advisor-group-fined-for-form-crs-and-regulation-best-interest-violations2023-05-18 https://mybadbroker.com/brokers/bryan-sproul-suspended-for-borrowing-from-customer2023-05-16 https://mybadbroker.com/brokers/rush-flowers-harding-iii-suspended-one-year-for-municipal-bond-markup-violations2023-05-16 https://mybadbroker.com/brokers/mml-investors-services-fined-250000-for-untimely-form-u4-and-u5-disclosures2023-05-16 https://mybadbroker.com/brokers/crews-associates-fined-50000-for-municipal-bond-markup-violations2023-05-16 https://mybadbroker.com/brokers/sw-financial-expelled-and-thomas-diamante-suspended-for-multiple-violations2023-05-15 https://mybadbroker.com/brokers/oneil-securities-fined-for-failure-to-record-and-supervise-private-securities-transactions2023-05-11 https://mybadbroker.com/brokers/arque-capital-and-michael-cheng-ning-sanctioned-for-net-capital-and-regulatory-violations2023-05-10 https://mybadbroker.com/brokers/michael-robert-neill-suspended-for-causing-inaccurate-books-and-records2023-05-09 https://mybadbroker.com/brokers/jacob-harrison-leddy-suspended-for-improper-removal-of-customer-information2023-05-09 https://mybadbroker.com/brokers/jason-lee-pintus-barred-for-refusing-finra-testimony2023-05-08 https://mybadbroker.com/brokers/stefan-andrew-spath-suspended-20-months-for-misrepresentations-and-undisclosed-outside-business-activity2023-05-05 https://mybadbroker.com/brokers/brokers-international-financial-services-fined-for-failure-to-supervise-outside-brokerage-accounts2023-05-05 https://mybadbroker.com/brokers/centaurus-financial-and-donnie-eugene-ingram-sanctioned-for-unsuitable-investment-recommendations2023-05-05 https://mybadbroker.com/brokers/shahab-tagnavidinani-suspended-for-unauthorized-trading-in-deceased-customer-account2023-05-02 https://mybadbroker.com/brokers/international-research-securities-fined-for-net-capital-violations2023-05-02 https://mybadbroker.com/brokers/cullen-david-factor-barred-for-refusing-finra-testimony2023-05-01 https://mybadbroker.com/brokers/merrill-lynch-fined-700000-for-telemarketing-rule-violations2023-05-01 https://mybadbroker.com/brokers/madison-avenue-securities-fined-for-failure-to-supervise-mutual-fund-sales-charge-discounts2023-05-01 https://mybadbroker.com/brokers/webull-financial-fined-3-million-for-options-approval-and-complaint-reporting-violations2023-05-01 https://mybadbroker.com/brokers/sprinklebrokerage-fined-15000-and-john-wallin-suspended-for-aml-failures2023-04-27 https://mybadbroker.com/brokers/matthew-mangini-suspended-six-months-for-unapproved-private-securities-transactions2023-04-24 https://mybadbroker.com/brokers/drake-uplinger-suspended-three-months-for-maintaining-undisclosed-outside-accounts2023-04-21 https://mybadbroker.com/brokers/todd-anderson-suspended-45-days-for-unsuitable-mutual-fund-recommendations2023-04-20 https://mybadbroker.com/brokers/christopher-tranchina-barred-for-breaking-into-former-employers-office-and-taking-files2023-04-20 https://mybadbroker.com/brokers/spartan-capital-securities-john-lowry-and-kim-monchik-sanctioned-for-form-u4-and-u5-disclosure-failures2023-04-19 https://mybadbroker.com/brokers/johnathan-norton-suspended-30-days-for-undisclosed-private-securities-transactions2023-04-19 https://mybadbroker.com/brokers/michael-raineri-barred-for-converting-135000-from-customer2023-04-18 https://mybadbroker.com/brokers/barclays-capital-fined-2-5-million-for-otc-options-reporting-failures2023-04-18 https://mybadbroker.com/brokers/randell-ogden-suspended-15-days-for-directing-removal-of-customer-information2023-04-17 https://mybadbroker.com/brokers/jason-dipaola-suspended-four-years-for-undisclosed-outside-account-and-false-compliance-forms2023-04-17 https://mybadbroker.com/brokers/tori-uhiren-barred-for-refusing-to-provide-information-to-finra2023-04-17 https://mybadbroker.com/brokers/regal-securities-fined-100000-for-failing-to-monitor-potentially-manipulative-trading2023-04-17 https://mybadbroker.com/brokers/finra-disciplinary-action-christine-tan-dormier-suspension-lifted-after-arbitration-compliance2023-04-17 https://mybadbroker.com/brokers/steven-netzel-suspended-four-months-for-altering-documents-and-unsuitable-recommendations2023-04-14 https://mybadbroker.com/brokers/bradley-jones-suspended-two-months-for-failing-to-disclose-irs-tax-lien2023-04-14 https://mybadbroker.com/brokers/william-fournier-barred-for-cheating-on-series-7-exam-using-internet2023-04-14 https://mybadbroker.com/brokers/the-carney-group-required-to-remediate-aml-testing-failures2023-04-14 https://mybadbroker.com/brokers/rbc-capital-markets-fined-300000-for-unsuitable-short-term-trading-in-preferred-stock2023-04-14 https://mybadbroker.com/brokers/stephenie-collins-barred-for-converting-customer-insurance-premiums2023-04-13 https://mybadbroker.com/brokers/rene-bolivar-barred-for-refusing-to-cooperate-with-finra-investigation2023-04-12 https://mybadbroker.com/brokers/gary-goldberg-co-ordered-to-pay-500000-for-variable-annuity-supervisory-failures2023-04-12 https://mybadbroker.com/brokers/gordon-wallace-suspended-10-days-for-improperly-removing-customer-information2023-04-11 https://mybadbroker.com/brokers/william-winchester-barred-for-borrowing-850000-from-customers-without-approval2023-04-06 https://mybadbroker.com/brokers/speedroute-fined-45000-for-improperly-accepting-market-orders-in-new-issues2023-04-04 https://mybadbroker.com/brokers/goldman-sachs-fined-3-million-for-mismarking-60-million-short-sale-orders2023-04-04 https://mybadbroker.com/brokers/larry-norton-suspended-30-days-for-undisclosed-private-securities-transactions2023-04-03 https://mybadbroker.com/brokers/dana-h-davis-suspended-and-ordered-to-pay-restitution-for-unsuitable-margin-trading-recommendations2023-03-31 https://mybadbroker.com/brokers/andrew-justin-grant-suspended-for-exercising-unauthorized-discretion2023-03-29 https://mybadbroker.com/brokers/olivier-robert-gillier-suspended-for-undisclosed-private-securities-transactions2023-03-29 https://mybadbroker.com/brokers/baker-tilly-capital-sanctioned-for-material-changes-to-private-placement-offerings2023-03-29 https://mybadbroker.com/brokers/roman-meyerhans-suspended-for-using-unapproved-messaging-application2023-03-28 https://mybadbroker.com/brokers/sukthavy-sisamouthp-barred-for-refusing-to-cooperate-with-investigation2023-03-28 https://mybadbroker.com/brokers/newbridge-securities-fined-for-failing-to-supervise-alternative-mutual-fund-recommendations2023-03-27 https://mybadbroker.com/brokers/natalliance-securities-and-jason-adams-sanctioned-for-supervisory-failures2023-03-27 https://mybadbroker.com/brokers/finra-disciplinary-action-donald-lee-smith-suspension-lifted-after-arbitration-compliance2023-03-27 https://mybadbroker.com/brokers/jeffrey-lance-prince-suspended-for-falsifying-representative-codes2023-03-21 https://mybadbroker.com/brokers/hornor-townsend-kent-sanctioned-for-failing-to-supervise-unapproved-outside-business-activity2023-03-21 https://mybadbroker.com/brokers/brokerbank-securities-and-philip-paul-wright-charged-with-allowing-unregistered-and-statutorily-disqualified-individual-to-conduct-securities-business2023-03-20 https://mybadbroker.com/brokers/derek-john-rehill-suspended-for-preparing-inaccurate-customer-contact-notes2023-03-20 https://mybadbroker.com/brokers/david-shane-simmons-barred-for-refusing-to-cooperate-with-investigation2023-03-15 https://mybadbroker.com/brokers/brendan-ercole-suspended-for-improperly-removing-customer-information2023-03-13 https://mybadbroker.com/brokers/maria-p-acevez-perez-suspended-for-failing-to-timely-respond-to-finra-requests2023-03-13 https://mybadbroker.com/brokers/crystal-bing-sum-cho-barred-for-refusing-to-produce-documents2023-03-13 https://mybadbroker.com/brokers/miche-d-jean-charged-with-failing-to-cooperate-and-alleged-customer-conversion2023-03-10 https://mybadbroker.com/brokers/jose-manuel-candelario-padilla-sanctioned-for-recommending-non-traditional-etfs-without-understanding-risks2023-03-10 https://mybadbroker.com/brokers/gary-mark-goldberg-suspended-and-ordered-to-pay-restitution-for-unsuitable-variable-annuity-recommendations2023-03-09 https://mybadbroker.com/brokers/kevin-andrew-hobbs-barred-for-providing-inaccurate-information-and-trading-away2023-03-09 https://mybadbroker.com/brokers/sagetrader-fined-for-short-sale-marking-and-locate-violations2023-03-09 https://mybadbroker.com/brokers/kevin-casey-suspended-for-creating-false-supervisory-documents2023-03-08 https://mybadbroker.com/brokers/transamerica-capital-fined-500000-for-registration-violations2023-03-08 https://mybadbroker.com/brokers/aeon-capital-fined-for-net-capital-violations2023-03-07 https://mybadbroker.com/brokers/joseph-louis-menotti-suspended-for-unemployment-benefits-fraud2023-03-06 https://mybadbroker.com/brokers/eric-james-stone-barred-for-failing-to-produce-documents-and-testimony2023-03-02 https://mybadbroker.com/brokers/kathleen-johansen-barred-for-refusing-to-testify2023-03-02 https://mybadbroker.com/brokers/lighthouse-capital-group-fined-for-private-placement-solicitation-violations2023-03-01 https://mybadbroker.com/brokers/thomas-michael-okeefe-suspended-18-months-for-exam-misconduct2023-02-28 https://mybadbroker.com/brokers/fenix-securities-fined-100000-for-market-access-control-failures2023-02-28 https://mybadbroker.com/brokers/tracy-lynn-morton-barred-for-refusing-to-provide-information2023-02-27 https://mybadbroker.com/brokers/jeremy-david-jefferson-suspended-for-undisclosed-outside-business-activity2023-02-21 https://mybadbroker.com/brokers/antoine-nabih-souma-barred-for-refusing-to-produce-documents2023-02-21 https://mybadbroker.com/brokers/laidlaw-company-fined-200000-for-net-capital-violations-and-due-diligence-failures2023-02-17 https://mybadbroker.com/brokers/lon-charles-faccini-jr-suspended-for-excessive-and-unsuitable-trading2023-02-16 https://mybadbroker.com/brokers/paul-james-trone-barred-for-refusing-finra-testimony2023-02-16 https://mybadbroker.com/brokers/bradley-carl-reifler-barred-for-failing-to-respond-to-finra-requests2023-02-16 https://mybadbroker.com/brokers/blake-eskew-barred-for-refusing-finra-testimony2023-02-16 https://mybadbroker.com/brokers/michael-ciro-colletti-accused-of-unauthorized-and-excessive-trading2023-02-15 https://mybadbroker.com/brokers/quint-capital-corporation-and-alexander-norman-quint-sanctioned-for-allowing-disqualified-individual-to-work2023-02-14 https://mybadbroker.com/brokers/patrick-keith-sloan-suspended-for-falsifying-signatures-and-unauthorized-discretion2023-02-10 https://mybadbroker.com/brokers/fortune-financial-ordered-to-pay-637355-in-restitution-for-variable-annuity-failures2023-02-10 https://mybadbroker.com/brokers/long-island-financial-group-fined-for-regulation-best-interest-failures2023-02-10 https://mybadbroker.com/brokers/quang-vinh-mai-barred-for-refusing-finra-testimony2023-02-09 https://mybadbroker.com/brokers/robin-bailey-liebes-suspended-for-inaccurate-trade-records2023-02-07 https://mybadbroker.com/brokers/sagetrader-fined-100000-for-anti-money-laundering-program-failures2023-02-07 https://mybadbroker.com/brokers/rosenblatt-securities-fined-for-late-private-placement-filings2023-02-07 https://mybadbroker.com/brokers/adam-james-makkai-sanctioned-for-paying-unregistered-person2023-02-06 https://mybadbroker.com/brokers/bna-wealth-fined-for-conducting-unregistered-municipal-securities-business2023-02-06 https://mybadbroker.com/brokers/jong-ik-lee-suspended-for-improper-expense-reimbursements2023-02-03 https://mybadbroker.com/brokers/ubs-securities-fined-475000-for-inaccurate-execution-quality-reports2023-02-03 https://mybadbroker.com/brokers/roger-lee-arnold-accused-of-failing-to-provide-information-to-finra2023-02-01 https://mybadbroker.com/brokers/archie-abel-blood-jr-suspended-for-private-securities-transactions2023-02-01 https://mybadbroker.com/brokers/finra-suspends-edward-short-7-months-and-orders-116859-restitution-for-excessive-trading2023-01-31 https://mybadbroker.com/brokers/finra-suspends-todd-cirella-3-months-and-orders-27566-restitution-for-excessive-trading2023-01-31 https://mybadbroker.com/brokers/finra-suspends-steven-brettler-3-months-for-falsifying-representative-codes2023-01-31 https://mybadbroker.com/brokers/finra-suspends-robert-boschke-30-days-for-impersonating-customer2023-01-31 https://mybadbroker.com/brokers/finra-bars-kenneth-byrne-for-refusing-to-testify-about-trade-suitability2023-01-31 https://mybadbroker.com/brokers/finra-suspends-robert-henderson-13-months-for-undisclosed-outside-business-activities-and-form-u4-violations2023-01-30 https://mybadbroker.com/brokers/finra-bars-patrick-matlock-for-eidl-fraud-and-outside-business-activity-violations2023-01-30 https://mybadbroker.com/brokers/finra-fines-raymond-james-300000-for-inaccurate-trade-confirmations2023-01-30 https://mybadbroker.com/brokers/finra-bars-robert-turner-for-selling-fake-annuities-in-7-2-million-fraud2023-01-27 https://mybadbroker.com/brokers/finra-fines-herbert-j-sims-co-100000-for-failing-to-review-cyber-events-for-aml2023-01-27 https://mybadbroker.com/brokers/finra-bars-daniel-kiely-for-refusing-to-testify2023-01-26 https://mybadbroker.com/brokers/finra-bars-sean-boswick-for-refusing-to-provide-bank-statements2023-01-26 https://mybadbroker.com/brokers/royal-alliance-sagepoint-and-securities-america-ordered-to-pay-over-500000-for-529-plan-sales-charge-failures-32023-01-24 https://mybadbroker.com/brokers/royal-alliance-sagepoint-and-securities-america-ordered-to-pay-over-500000-for-529-plan-sales-charge-failures-22023-01-24 https://mybadbroker.com/brokers/royal-alliance-sagepoint-and-securities-america-ordered-to-pay-over-500000-for-529-plan-sales-charge-failures2023-01-24 https://mybadbroker.com/brokers/finra-suspends-altin-tirana-3-months-for-falsifying-representative-codes2023-01-23 https://mybadbroker.com/brokers/finra-suspends-jay-eng-20-days-for-impersonating-customer-and-retaining-customer-information2023-01-23 https://mybadbroker.com/brokers/finra-bars-imani-bailey-for-converting-1384-from-customer-bank-account2023-01-23 https://mybadbroker.com/brokers/finra-suspends-william-massarweh-1-year-for-undisclosed-outside-business-activity-and-improper-fund-transfer2023-01-20 https://mybadbroker.com/brokers/finra-fines-paulson-investment-150000-and-orders-185215-restitution-for-unsuitable-vrsp-recommendations2023-01-20 https://mybadbroker.com/brokers/finra-fines-bgc-financial-175000-for-treasury-securities-reporting-violations2023-01-20 https://mybadbroker.com/brokers/finra-suspends-david-test-2-months-for-forging-customer-initials2023-01-19 https://mybadbroker.com/brokers/finra-bars-matthew-gary-barks-for-refusing-to-testify2023-01-19 https://mybadbroker.com/brokers/finra-fines-wedbush-securities-975000-for-failing-to-review-for-manipulative-trading2023-01-19 https://mybadbroker.com/brokers/finra-fines-hunnicutt-co-10000-for-failing-to-conduct-aml-testing2023-01-19 https://mybadbroker.com/brokers/finra-suspends-delmar-moore-3-months-for-failing-to-disclose-regulatory-action2023-01-18 https://mybadbroker.com/brokers/finra-bars-jordan-palmer-john-for-failing-to-produce-documents2023-01-17 https://mybadbroker.com/brokers/finra-bars-suzanne-charrin-for-providing-false-information-about-cbd-business2023-01-17 https://mybadbroker.com/brokers/finra-fines-nomura-securities-125000-for-net-capital-and-customer-reserve-violations2023-01-13 https://mybadbroker.com/brokers/finra-fines-electronic-transaction-clearing-150000-for-short-interest-reporting-failures2023-01-13 https://mybadbroker.com/brokers/finra-fines-insight-securities-25000-for-nt-etp-supervision-failures2023-01-12 https://mybadbroker.com/brokers/finra-fines-corinthian-partners-10000-for-self-supervision-failures2023-01-12 https://mybadbroker.com/brokers/finra-issues-decision-against-david-hixon-for-failing-to-provide-loan-documents-appeal-pending2023-01-10 https://mybadbroker.com/brokers/finra-suspends-clinton-byrd-9-months-for-550000-undisclosed-private-securities-transaction2023-01-09 https://mybadbroker.com/brokers/finra-fines-deloitte-corporate-finance-200000-for-failing-to-retain-imessages2023-01-09 https://mybadbroker.com/brokers/finra-suspends-scott-smith-12-months-for-78000-undisclosed-borrowing-from-elderly-customer2023-01-05 https://mybadbroker.com/brokers/finra-fines-ubs-securities-3-75-million-for-options-reporting-failures2023-01-05 https://mybadbroker.com/brokers/finra-fines-sequence-financial-17500-for-failing-to-reconfirm-extended-offering2023-01-05 https://mybadbroker.com/brokers/finra-suspends-kevin-klickna-3-months-for-forging-customer-signature2023-01-04 https://mybadbroker.com/brokers/finra-fines-blaylock-van-50000-for-failing-to-detect-pre-arranged-trading2023-01-04 https://mybadbroker.com/brokers/joel-riedel-suspended-four-months-for-marking-uit-transactions-as-unsolicited2022-12-30 https://mybadbroker.com/brokers/mark-kolta-accused-of-unsuitable-reit-recommendations-and-falsifying-records2022-12-29 https://mybadbroker.com/brokers/clarence-smith-suspended-15-days-for-impersonating-customer2022-12-29 https://mybadbroker.com/brokers/cvcapital-securities-fined-15000-for-failing-to-file-continuing-membership-application2022-12-29 https://mybadbroker.com/brokers/center-street-securities-fined-70000-and-ordered-to-pay-89653-in-restitution-for-failing-to-disclose-material-information2022-12-29 https://mybadbroker.com/brokers/moloney-securities-ordered-to-pay-268083-in-restitution-for-failing-to-disclose-material-information2022-12-28 https://mybadbroker.com/brokers/leonid-yurovsky-suspended-five-months-for-excessive-trading2022-12-27 https://mybadbroker.com/brokers/john-underation-suspended-six-months-for-failing-to-disclose-felony-charges2022-12-27 https://mybadbroker.com/brokers/justly-markets-fined-100000-for-failing-to-preserve-order-memoranda2022-12-27 https://mybadbroker.com/brokers/john-terzis-barred-for-borrowing-200000-from-elderly-customer2022-12-23 https://mybadbroker.com/brokers/yuvraj-chauhan-suspended-two-years-for-creating-fictitious-documents2022-12-22 https://mybadbroker.com/brokers/morgan-stanley-ordered-to-pay-802483-in-restitution-for-mutual-fund-sales-charge-waiver-failures2022-12-22 https://mybadbroker.com/brokers/wells-fargo-securities-fined-200000-for-overstating-trade-volume2022-12-22 https://mybadbroker.com/brokers/kimberly-nuessmann-suspended-30-days-for-impersonating-deceased-customer2022-12-21 https://mybadbroker.com/brokers/james-wing-barred-for-refusing-to-cooperate-with-investigation-into-expense-conversion2022-12-20 https://mybadbroker.com/brokers/desiderio-torrez-barred-for-refusing-to-produce-documents2022-12-20 https://mybadbroker.com/brokers/john-matson-barred-for-refusing-to-cooperate-with-investigation-into-promissory-notes2022-12-19 https://mybadbroker.com/brokers/gary-chang-barred-for-refusing-to-testify-in-misappropriation-investigation2022-12-19 https://mybadbroker.com/brokers/chuanbing-rong-suspended-two-months-for-undisclosed-insurance-business2022-12-16 https://mybadbroker.com/brokers/ahmed-gheith-suspended-one-month-for-violating-private-placement-pre-existing-relationship-requirements2022-12-16 https://mybadbroker.com/brokers/coastal-equities-fined-150000-and-ordered-to-pay-268800-in-restitution-for-failing-to-disclose-material-information2022-12-16 https://mybadbroker.com/brokers/citigroup-global-markets-fined-1-5-million-for-regulation-sho-violations2022-12-15 https://mybadbroker.com/brokers/michael-hakim-suspended-two-months-for-failing-to-disclose-outside-brokerage-account2022-12-14 https://mybadbroker.com/brokers/david-brendza-suspended-six-months-for-falsifying-representative-codes2022-12-14 https://mybadbroker.com/brokers/ofg-financial-services-fined-45000-for-email-supervision-failures2022-12-14 https://mybadbroker.com/brokers/edward-jones-fined-1-1-million-for-document-production-failures2022-12-13 https://mybadbroker.com/brokers/zachary-simpson-suspended-three-months-for-forging-customer-signatures2022-12-09 https://mybadbroker.com/brokers/instinet-fined-165000-for-inaccurate-rule-605-reports2022-12-09 https://mybadbroker.com/brokers/christine-warner-suspended-40-days-for-failing-to-supervise-variable-annuity-exchanges2022-12-08 https://mybadbroker.com/brokers/kellen-ferris-suspended-18-months-for-possessing-prohibited-materials-during-finra-exam2022-12-08 https://mybadbroker.com/brokers/caz-craffy-barred-for-refusing-to-cooperate-with-finra-investigation2022-12-08 https://mybadbroker.com/brokers/mirsad-muharemovic-suspended-nine-months-for-excessive-trading-of-senior-customers2022-12-07 https://mybadbroker.com/brokers/lpl-financial-fined-150000-for-supervisory-failures-related-to-customer-fund-transfers2022-12-07 https://mybadbroker.com/brokers/michael-deluca-suspended-15-days-for-failing-to-supervise-variable-annuity-exchanges2022-12-06 https://mybadbroker.com/brokers/fernando-silva-barred-for-refusing-to-cooperate-with-finra-investigation2022-12-06 https://mybadbroker.com/brokers/old-slip-capital-management-fined-15000-for-net-capital-violations2022-12-06 https://mybadbroker.com/brokers/patrick-perugino-suspended-one-month-for-exercising-unauthorized-discretion2022-12-05 https://mybadbroker.com/brokers/richard-langer-suspended-10-days-for-non-compliant-social-media-posts2022-12-01 https://mybadbroker.com/brokers/sean-gordon-suspended-two-months-for-undisclosed-insurance-business2022-12-01 https://mybadbroker.com/brokers/amy-greenberg-suspended-for-failing-to-disclose-federal-tax-lien2022-11-30 https://mybadbroker.com/brokers/four-firms-fined-for-failing-to-disclose-alternative-asset-manager-filing-delays2022-11-30 https://mybadbroker.com/brokers/daniel-pita-barred-for-failing-to-cooperate-with-outside-business-activities-investigation2022-11-29 https://mybadbroker.com/brokers/robert-koestler-barred-for-refusing-testimony-about-unauthorized-trading-allegations2022-11-29 https://mybadbroker.com/brokers/barry-garapedian-suspended-for-falsifying-representative-codes2022-11-28 https://mybadbroker.com/brokers/cathie-joughin-barred-for-refusing-to-provide-information-about-fiduciary-relationship-violations2022-11-28 https://mybadbroker.com/brokers/todd-seymour-suspended-for-failing-to-disclose-full-scope-of-outside-business-activity2022-11-25 https://mybadbroker.com/brokers/ffec-wealth-partners-and-jeffrey-graves-fined-for-supervisory-failures2022-11-25 https://mybadbroker.com/brokers/brandon-self-barred-for-refusing-to-provide-information-after-cfp-board-bar2022-11-23 https://mybadbroker.com/brokers/justin-anderson-barred-for-refusing-testimony-about-signature-discrepancies2022-11-23 https://mybadbroker.com/brokers/jesus-bravo-suspended-for-unsuitable-and-excessive-trading2022-11-22 https://mybadbroker.com/brokers/hugh-barndollar-suspended-for-unapproved-private-securities-transactions2022-11-22 https://mybadbroker.com/brokers/ubs-securities-fined-675000-for-trace-reporting-violations2022-11-21 https://mybadbroker.com/brokers/morgan-stanley-fined-200000-for-plan-of-solicitation-supervision-failures2022-11-21 https://mybadbroker.com/brokers/barclays-fined-175000-for-overstating-trading-volume2022-11-21 https://mybadbroker.com/brokers/david-lau-suspended-for-exercising-unauthorized-discretion2022-11-18 https://mybadbroker.com/brokers/charles-jumet-suspended-for-engaging-in-unapproved-outside-business-activity2022-11-18 https://mybadbroker.com/brokers/edward-turley-barred-for-refusing-testimony-about-customer-trading-practices2022-11-17 https://mybadbroker.com/brokers/nancy-mellon-barred-for-converting-firm-funds-and-providing-false-information2022-11-17 https://mybadbroker.com/brokers/citigroup-fined-100000-for-inaccurate-order-routing-reports2022-11-17 https://mybadbroker.com/brokers/lee-diedrich-suspended-for-forging-customer-signatures2022-11-16 https://mybadbroker.com/brokers/blake-ridenour-suspended-for-falsifying-representative-codes2022-11-15 https://mybadbroker.com/brokers/joan-burgio-suspended-for-undisclosed-outside-business-activities2022-11-15 https://mybadbroker.com/brokers/raymi-nodarse-valdes-barred-for-refusing-testimony-about-undisclosed-private-securities-transactions2022-11-15 https://mybadbroker.com/brokers/wilfredo-felix-barred-for-failing-to-respond-to-finra-requests2022-11-15 https://mybadbroker.com/brokers/john-selleh-suspended-for-assisting-representative-in-providing-false-information2022-11-14 https://mybadbroker.com/brokers/boustead-securities-fined-for-customer-information-collection-failures2022-11-14 https://mybadbroker.com/brokers/michael-lancaster-suspended-for-unsuitable-recommendation-and-attempted-settlement2022-11-11 https://mybadbroker.com/brokers/douglas-kaiser-suspended-for-failing-to-supervise-markups-and-markdowns2022-11-11 https://mybadbroker.com/brokers/hinman-au-suspended-for-aml-program-and-supervisory-failures2022-11-11 https://mybadbroker.com/brokers/james-kondrasuk-barred-for-refusing-to-provide-information-about-check-fraud-allegation2022-11-11 https://mybadbroker.com/brokers/allen-hershberg-barred-for-failing-to-provide-information-about-undisclosed-investments2022-11-11 https://mybadbroker.com/brokers/clearview-trading-advisors-and-gregg-ettin-sanctioned-for-aml-failures2022-11-11 https://mybadbroker.com/brokers/ellen-reynard-suspended-for-falsifying-customer-forms2022-11-10 https://mybadbroker.com/brokers/credit-suisse-fined-375000-for-lopr-misreporting2022-11-10 https://mybadbroker.com/brokers/theodore-serure-suspended-for-borrowing-from-customers-without-firm-approval2022-11-09 https://mybadbroker.com/brokers/christopher-eriksson-suspended-for-undisclosed-borrowing-and-outside-business-activities2022-11-09 https://mybadbroker.com/brokers/christopher-shaw-suspended-for-exercising-unauthorized-discretion2022-11-07 https://mybadbroker.com/brokers/joel-plasco-suspended-for-undisclosed-private-securities-transactions-and-outside-accounts2022-11-07 https://mybadbroker.com/brokers/thomas-ciolek-barred-for-refusing-finra-testimony2022-11-07 https://mybadbroker.com/brokers/trevor-saliba-barred-for-violating-interim-restrictions-and-providing-false-information2022-11-04 https://mybadbroker.com/brokers/hans-eveillard-barred-for-refusing-finra-testimony2022-11-04 https://mybadbroker.com/brokers/bruce-davis-barred-for-failing-to-respond-to-finra-investigation2022-11-04 https://mybadbroker.com/brokers/vanguard-marketing-fined-50000-for-accepting-late-option-exercise-instructions2022-11-04 https://mybadbroker.com/brokers/wedbush-securities-fined-850000-for-account-statement-and-disclosure-failures2022-11-03 https://mybadbroker.com/brokers/yoon-sik-chung-barred-for-money-laundering-facilitation2022-11-02 https://mybadbroker.com/brokers/superior-financial-services-fined-for-aml-testing-failure2022-11-02 https://mybadbroker.com/brokers/christopher-polinaire-suspended-for-excessive-and-unsuitable-trading2022-11-01 https://mybadbroker.com/brokers/western-international-securities-fined-400000-for-non-traded-reit-violations2022-11-01 https://mybadbroker.com/brokers/rbc-capital-markets-fined-360000-for-failing-to-timely-review-employee-outside-brokerage-accounts2022-10-31 https://mybadbroker.com/brokers/bnp-paribas-securities-fined-375000-for-trace-over-reporting-and-supervisory-failures2022-10-24 https://mybadbroker.com/brokers/keith-todd-ashley-barred-for-failing-to-respond-to-finra-requests2022-10-21 https://mybadbroker.com/brokers/raymond-james-financial-services-fined-800000-for-supervisory-failures2022-10-20 https://mybadbroker.com/brokers/raymond-james-firms-fined-1-1-million-for-supervisory-failures-in-trade-authorization-and-commission-overcharge-scheme2022-10-20 https://mybadbroker.com/brokers/carlos-leston-barred-for-refusing-to-provide-information-to-finra2022-10-19 https://mybadbroker.com/brokers/richard-marion-blosser-barred-for-refusing-to-testify-about-customer-trading2022-10-19 https://mybadbroker.com/brokers/janney-montgomery-scott-fined-100000-for-failing-to-supervise-unsuitable-energy-sector-concentration2022-10-19 https://mybadbroker.com/brokers/mitchell-scott-biernick-barred-for-refusing-to-provide-testimony2022-10-18 https://mybadbroker.com/brokers/e1-asset-management-and-ron-yehuda-itin-sanctioned-for-supervisory-failures-in-mark-up-oversight2022-10-18 https://mybadbroker.com/brokers/timothy-patrick-higgins-barred-for-failing-to-testify-in-finra-investigation2022-10-17 https://mybadbroker.com/brokers/dealerweb-fined-100000-for-trace-reporting-failures2022-10-17 https://mybadbroker.com/brokers/scotia-capital-fined-300000-for-over-reporting-short-interest-positions2022-10-12 https://mybadbroker.com/brokers/robert-paul-barberis-suspended-for-causing-inaccurate-trade-records2022-10-06 https://mybadbroker.com/brokers/stacee-lei-bradley-suspended-for-failing-to-disclose-felony-charges2022-10-04 https://mybadbroker.com/brokers/ubs-securities-fined-520000-for-improper-aggregation-of-foreign-affiliate-positions2022-10-03 https://mybadbroker.com/brokers/nathan-marek-plumb-suspended-four-months-for-undisclosed-obas-and-private-securities-transactions2022-09-30 https://mybadbroker.com/brokers/german-ricardo-mora-suspended-for-undisclosed-outside-business-activity-and-false-attestation2022-09-30 https://mybadbroker.com/brokers/steven-horn-suspended-seven-months-for-false-statements-in-sba-loan-application2022-09-30 https://mybadbroker.com/brokers/lightspeed-financial-services-fined-25000-for-options-order-coding-errors2022-09-30 https://mybadbroker.com/brokers/lisa-maria-idlett-suspended-six-months-for-failing-to-respond-to-finra2022-09-29 https://mybadbroker.com/brokers/nickolay-v-kukekov-suspended-for-undisclosed-outside-business-activities2022-09-28 https://mybadbroker.com/brokers/morgan-stanley-fined-500000-for-regulation-m-filing-failures2022-09-28 https://mybadbroker.com/brokers/michael-glenn-seymour-suspended-for-failing-to-supervise-uit-and-alternative-investment-sales2022-09-27 https://mybadbroker.com/brokers/wedbush-securities-fined-900000-for-regulation-sho-violations2022-09-27 https://mybadbroker.com/brokers/garden-state-securities-fined-20000-for-regulation-m-violations2022-09-27 https://mybadbroker.com/brokers/miche-d-jean-suspended-for-unauthorized-discretion-and-recordkeeping-violations2022-09-26 https://mybadbroker.com/brokers/daniel-richard-hajduk-barred-for-refusing-to-testify-about-customer-trades2022-09-26 https://mybadbroker.com/brokers/crescent-securities-fined-30000-for-fair-pricing-supervision-failures2022-09-26 https://mybadbroker.com/brokers/ronald-robert-walchack-barred-for-refusing-to-testify-about-termination2022-09-23 https://mybadbroker.com/brokers/alan-zelig-appelbaum-barred-for-refusing-to-provide-documents2022-09-23 https://mybadbroker.com/brokers/h-c-wainwright-co-fined-1-5-million-for-text-message-preservation-failures2022-09-23 https://mybadbroker.com/brokers/jimmie-scott-griffea-suspended-for-failure-to-disclose-criminal-charge-on-form-u42022-09-21 https://mybadbroker.com/brokers/ibn-financial-services-fined-30000-for-outside-business-activity-supervision-failures2022-09-20 https://mybadbroker.com/brokers/jared-winston-barred-for-converting-firm-funds-through-fraudulent-expense-reimbursements2022-09-19 https://mybadbroker.com/brokers/solomon-wei-en-hua-suspended-one-year-for-unsuitable-nips-recommendations-and-misleading-communications2022-09-16 https://mybadbroker.com/brokers/raymond-ellis-jennison-jr-barred-for-refusing-to-testify2022-09-16 https://mybadbroker.com/brokers/vision-brokerage-and-vision-financial-markets-fined-850000-for-aml-and-supervision-failures2022-09-16 https://mybadbroker.com/brokers/daniel-shawn-murff-suspended-for-providing-unauthorized-customer-compensation2022-09-15 https://mybadbroker.com/brokers/peng-zhang-suspended-for-causing-incomplete-books-and-records2022-09-13 https://mybadbroker.com/brokers/ronald-coy-bailey-jr-suspended-12-months-for-private-securities-transaction-and-oba-violations2022-09-09 https://mybadbroker.com/brokers/dusty-lynn-sternadel-barred-for-refusing-to-cooperate-with-finra-investigation2022-09-09 https://mybadbroker.com/brokers/sagepoint-financial-fined-35000-for-failure-to-supervise-margin-trading2022-09-09 https://mybadbroker.com/brokers/mm-global-securities-fined-450000-and-prohibited-from-market-access-for-aml-failures2022-09-09 https://mybadbroker.com/brokers/glendale-securities-fined-50000-for-aml-program-failures2022-09-09 https://mybadbroker.com/brokers/canaccord-genuity-fined-200000-for-private-placement-supervision-failures2022-09-08 https://mybadbroker.com/brokers/crystal-turk-suspended-for-negligent-misrepresentations-in-covid-19-loan-application2022-09-07 https://mybadbroker.com/brokers/james-edward-gingles-suspended-for-taking-unreimbursed-loans-from-senior-customers2022-09-06 https://mybadbroker.com/brokers/russ-kory-suspended-for-unsuitable-recommendations-of-illiquid-limited-partnerships2022-09-02 https://mybadbroker.com/brokers/sanctuary-securities-fined-60000-for-failing-to-disclose-material-information2022-09-02 https://mybadbroker.com/brokers/acorns-securities-fined-200000-for-inaccurate-customer-account-statements2022-09-02 https://mybadbroker.com/brokers/michael-g-ferrera-jr-suspended-two-years-for-outside-business-activity-and-false-statements2022-09-01 https://mybadbroker.com/brokers/john-charles-barnes-suspended-for-unauthorized-discretionary-trading2022-09-01 https://mybadbroker.com/brokers/american-portfolios-ordered-to-pay-4-6-million-for-bank-deposit-program-fee-overcollection2022-09-01 https://mybadbroker.com/brokers/miguel-murillo-suspended-for-excessive-trading2022-08-31 https://mybadbroker.com/brokers/robert-w-baird-fined-150000-for-charging-unfair-commissions2022-08-31 https://mybadbroker.com/brokers/kyle-luebeck-suspended-for-improperly-removing-customer-information2022-08-30 https://mybadbroker.com/brokers/christopher-perrillo-suspended-for-failing-to-disclose-financial-events2022-08-29 https://mybadbroker.com/brokers/ossama-helal-suspended-for-unapproved-outside-business2022-08-29 https://mybadbroker.com/brokers/simon-granner-suspended-for-undisclosed-outside-business2022-08-29 https://mybadbroker.com/brokers/lampert-capital-markets-fined-10000-for-net-capital-calculation-errors2022-08-29 https://mybadbroker.com/brokers/doug-mckelvey-barred-for-refusing-to-provide-information-about-misappropriation2022-08-26 https://mybadbroker.com/brokers/temetria-blackburn-suspended-for-eidl-loan-misrepresentations2022-08-25 https://mybadbroker.com/brokers/kovack-securities-fined-210000-for-failing-to-supervise-short-term-mutual-fund-trading2022-08-24 https://mybadbroker.com/brokers/katalyst-securities-fined-15000-for-net-capital-violations2022-08-24 https://mybadbroker.com/brokers/conrad-branson-suspended-for-unauthorized-trading2022-08-23 https://mybadbroker.com/brokers/viewtrade-securities-fined-250000-for-aml-and-market-access-failures2022-08-23 https://mybadbroker.com/brokers/michael-venturino-charged-with-churning-customer-accounts2022-08-22 https://mybadbroker.com/brokers/michael-desando-suspended-for-excessive-trading2022-08-22 https://mybadbroker.com/brokers/louis-ottimo-barred-for-fraudulent-omissions-in-private-placement2022-08-22 https://mybadbroker.com/brokers/capital-investment-group-fined-50000-for-material-omissions-in-private-placement-sales2022-08-22 https://mybadbroker.com/brokers/michael-witt-suspended-for-misassigning-representative-codes2022-08-19 https://mybadbroker.com/brokers/efthimios-petrou-suspended-for-excessive-trading2022-08-19 https://mybadbroker.com/brokers/bryon-martinsen-suspended-for-undisclosed-private-securities-transactions2022-08-19 https://mybadbroker.com/brokers/daniel-pita-charged-with-failing-to-provide-information-about-outside-business2022-08-18 https://mybadbroker.com/brokers/yan-binder-suspended-for-unapproved-text-messages2022-08-18 https://mybadbroker.com/brokers/gar-wood-securities-fined-100000-for-locate-and-trade-reporting-violations2022-08-18 https://mybadbroker.com/brokers/morgan-stanley-fined-250000-for-short-sale-reporting-failures2022-08-17 https://mybadbroker.com/brokers/francis-velten-barred-for-refusing-to-provide-documents-about-annuity-flipping2022-08-16 https://mybadbroker.com/brokers/patrick-matlock-charged-with-eidl-loan-fraud-and-undisclosed-outside-business2022-08-15 https://mybadbroker.com/brokers/mark-martino-suspended-for-due-diligence-failures-in-private-placement2022-08-15 https://mybadbroker.com/brokers/axiom-capital-fined-40000-for-inadequate-due-diligence-of-private-placement2022-08-15 https://mybadbroker.com/brokers/daniel-minich-suspended-for-undisclosed-cryptocurrency-hedge-fund-transactions2022-08-12 https://mybadbroker.com/brokers/patrick-english-barred-for-refusing-to-testify-about-trading-violations2022-08-12 https://mybadbroker.com/brokers/zachary-hansen-suspended-for-unapproved-text-messages2022-08-11 https://mybadbroker.com/brokers/annetta-box-barred-for-refusing-to-provide-information-about-outside-business2022-08-11 https://mybadbroker.com/brokers/lpl-financial-fined-300000-for-customer-reserve-calculation-failures2022-08-11 https://mybadbroker.com/brokers/phil-donahue-suspended-for-unsuitable-concentration-recommendation2022-08-10 https://mybadbroker.com/brokers/sg-americas-securities-fined-325000-for-options-reporting-failures2022-08-10 https://mybadbroker.com/brokers/daniel-stoakes-suspended-for-forging-customer-signatures2022-08-09 https://mybadbroker.com/brokers/manish-saini-suspended-for-undisclosed-private-securities-transaction2022-08-09 https://mybadbroker.com/brokers/stephen-whitman-barred-for-refusing-to-cooperate-with-investigation2022-08-09 https://mybadbroker.com/brokers/jolam-mendez-barred-for-converting-firm-funds-through-false-timesheets2022-08-09 https://mybadbroker.com/brokers/haleh-farshi-barred-for-refusing-to-provide-information2022-08-08 https://mybadbroker.com/brokers/john-orlando-suspended-for-mischaracterizing-trades2022-08-05 https://mybadbroker.com/brokers/james-pecoraro-suspended-for-excessive-trading2022-08-04 https://mybadbroker.com/brokers/j-p-morgan-securities-fined-200000-for-supervisory-failures-in-elder-financial-abuse-case2022-08-04 https://mybadbroker.com/brokers/robert-mehlin-suspended-for-unauthorized-discretion2022-08-03 https://mybadbroker.com/brokers/morgan-stanley-fined-325000-for-inaccurate-research-reports2022-08-03 https://mybadbroker.com/brokers/david-wilkie-suspended-for-concealing-beneficiary-status2022-08-02 https://mybadbroker.com/brokers/mark-guarino-fined-and-suspended-for-ppp-loan-misrepresentations2022-08-02 https://mybadbroker.com/brokers/ernest-frerking-barred-for-refusing-to-testify2022-08-02 https://mybadbroker.com/brokers/timothy-fazzone-barred-for-converting-customer-estate-funds2022-08-02 https://mybadbroker.com/brokers/network-1-financial-securities-inc-fined-15000-for-filing-violations2022-08-02 https://mybadbroker.com/brokers/charles-burford-decision-unauthorized-trading-in-deceased-customer-account2022-08-01 https://mybadbroker.com/brokers/wayne-von-borstel-suspended-for-causing-inaccurate-529-plan-records2022-07-28 https://mybadbroker.com/brokers/jorge-antonio-netto-suspended-and-ordered-to-disgorge-75000-for-undisclosed-business-activities2022-07-28 https://mybadbroker.com/brokers/joseph-a-ambrosole-barred-for-refusing-testimony-about-unsuitable-trading-allegations2022-07-28 https://mybadbroker.com/brokers/robert-watson-vial-suspended-for-undisclosed-investment-company-activities2022-07-27 https://mybadbroker.com/brokers/stephen-robert-green-suspended-for-undisclosed-investment-company-activities2022-07-27 https://mybadbroker.com/brokers/lance-everett-baraker-suspended-for-undisclosed-investment-company-activities2022-07-27 https://mybadbroker.com/brokers/brian-harold-young-suspended-for-failing-to-disclose-three-felony-charges2022-07-26 https://mybadbroker.com/brokers/richard-a-hogan-suspended-for-undisclosed-private-securities-transactions2022-07-26 https://mybadbroker.com/brokers/worden-capital-management-llc-expelled-for-fraudulent-private-placement-sales2022-07-25 https://mybadbroker.com/brokers/adam-thomas-marquardt-barred-for-refusing-testimony-about-unauthorized-cash-deposits2022-07-21 https://mybadbroker.com/brokers/david-thomas-hixon-accused-of-failing-to-provide-information-about-customer-loans2022-07-20 https://mybadbroker.com/brokers/sagetrader-llc-fined-775000-for-failing-to-supervise-potentially-manipulative-trading2022-07-20 https://mybadbroker.com/brokers/james-daniel-kent-jr-suspended-for-failing-to-disclose-felony-dui-charge2022-07-19 https://mybadbroker.com/brokers/michael-hong-cho-suspended-15-months-for-false-comfort-letters-worth-billions2022-07-19 https://mybadbroker.com/brokers/wilson-davis-co-fined-100000-for-customer-reserve-and-securities-control-violations2022-07-18 https://mybadbroker.com/brokers/robin-lee-taliaferro-barred-for-refusing-to-produce-information2022-07-15 https://mybadbroker.com/brokers/david-gene-menashe-barred-for-refusing-testimony-about-excessive-trading2022-07-15 https://mybadbroker.com/brokers/bofa-securities-fined-325000-for-inaccurate-order-execution-reports2022-07-15 https://mybadbroker.com/brokers/daniel-lee-bicket-barred-for-refusing-testimony-regarding-undisclosed-outside-activities2022-07-14 https://mybadbroker.com/brokers/franz-helmut-lambert-suspended-for-excessive-trading-causing-320906-in-losses2022-07-13 https://mybadbroker.com/brokers/michael-burton-ohlemacher-suspended-for-undisclosed-insurance-business2022-07-11 https://mybadbroker.com/brokers/william-edward-torriente-jr-barred-for-refusing-finra-testimony2022-07-07 https://mybadbroker.com/brokers/david-michael-karandos-barred-for-refusing-finra-testimony2022-07-07 https://mybadbroker.com/brokers/wei-donald-tang-suspended-for-undisclosed-outside-business-activities2022-07-06 https://mybadbroker.com/brokers/megurditch-mike-patatian-barred-and-ordered-to-pay-over-721000-for-unsuitable-recommendations2022-07-05 https://mybadbroker.com/brokers/philip-norris-smith-suspended-for-unsuitable-annuity-recommendations2022-05-31 https://mybadbroker.com/brokers/david-charles-levine-suspended-for-improper-recoupment-of-sales-concessions2022-05-31 https://mybadbroker.com/brokers/camille-cordova-suspended-for-unsuitable-annuity-recommendations2022-05-31 https://mybadbroker.com/brokers/paul-steven-vavrinchik-barred-for-refusing-to-provide-information-to-finra2022-05-31 https://mybadbroker.com/brokers/steven-kiyoto-hirata-barred-for-failing-to-provide-information-to-finra2022-05-31 https://mybadbroker.com/brokers/j-w-korth-sanctioned-for-excessive-markups-on-bond-transactions2022-05-31 https://mybadbroker.com/brokers/palmery-robert-desir-suspended-for-excessive-trading-of-customer-account2022-05-27 https://mybadbroker.com/brokers/jordan-ross-helfgott-suspended-for-forging-customer-signatures2022-05-26 https://mybadbroker.com/brokers/jared-eli-ellis-suspended-for-failing-to-disclose-felony-charges2022-05-26 https://mybadbroker.com/brokers/bids-trading-fined-200000-for-overstating-trade-volume2022-05-25 https://mybadbroker.com/brokers/aaron-capital-fined-for-willful-form-crs-violations2022-05-25 https://mybadbroker.com/brokers/john-michael-derbin-jr-suspended-for-impersonating-customer2022-05-24 https://mybadbroker.com/brokers/marcella-luz-cofre-suspended-for-falsifying-customer-signature2022-05-23 https://mybadbroker.com/brokers/tarik-nehmatullah-barred-for-refusing-to-cooperate-with-finra-investigation2022-05-23 https://mybadbroker.com/brokers/suresh-v-kumar-barred-for-operating-undisclosed-outside-business-and-making-misrepresentations2022-05-23 https://mybadbroker.com/brokers/barbara-ann-bernatzky-barred-for-refusing-to-testify-before-finra2022-05-23 https://mybadbroker.com/brokers/blakely-chapman-page-suspended-for-negligent-misrepresentations-about-fund-performance2022-05-20 https://mybadbroker.com/brokers/electronic-transaction-clearing-fined-for-regulation-sho-violations2022-05-20 https://mybadbroker.com/brokers/timothy-john-prouty-barred-for-refusing-to-provide-information-to-finra2022-05-19 https://mybadbroker.com/brokers/william-thomas-hobdy-suspended-for-undisclosed-outside-business-activities2022-05-18 https://mybadbroker.com/brokers/jeffrey-ernest-marburger-barred-for-refusing-to-testify-before-finra2022-05-18 https://mybadbroker.com/brokers/kaival-patel-barred-for-failing-to-provide-information-to-finra2022-05-17 https://mybadbroker.com/brokers/jesus-jose-alvidrez-barred-for-refusing-to-cooperate-with-finra-investigation2022-05-17 https://mybadbroker.com/brokers/bennett-robert-zamani-suspended-for-operating-undisclosed-investment-content-business2022-05-16 https://mybadbroker.com/brokers/matthew-howard-smith-accused-of-failing-to-appear-for-finra-testimony2022-05-13 https://mybadbroker.com/brokers/nikolay-zotenko-suspended-for-sending-misleading-unapproved-communications2022-05-13 https://mybadbroker.com/brokers/sanjay-bhargava-suspended-for-undisclosed-private-securities-transactions2022-05-13 https://mybadbroker.com/brokers/stephanie-jing-wen-xiao-barred-for-refusing-to-cooperate-with-finra2022-05-13 https://mybadbroker.com/brokers/patrick-richard-daley-suspended-for-undisclosed-outside-business-activities2022-05-12 https://mybadbroker.com/brokers/marco-antonio-rivera-barred-for-failure-to-provide-information2022-05-12 https://mybadbroker.com/brokers/roger-bruce-braxton-ii-barred-for-failing-to-respond-to-finra-requests2022-05-12 https://mybadbroker.com/brokers/spire-securities-llc-sanctioned-for-late-regulatory-filings2022-05-12 https://mybadbroker.com/brokers/roselaine-securities-llc-fined-for-supervisory-failures-on-outside-activities2022-05-12 https://mybadbroker.com/brokers/ian-phillip-lowrey-suspended-for-excessive-trading-in-customer-accounts2022-05-10 https://mybadbroker.com/brokers/edric-michael-mcsween-barred-for-refusing-to-cooperate-with-finra2022-05-10 https://mybadbroker.com/brokers/erin-bridget-settle-suspended-for-exam-cheating2022-05-09 https://mybadbroker.com/brokers/jeremy-clay-burk-suspended-for-undisclosed-outside-business-activities2022-05-09 https://mybadbroker.com/brokers/torch-securities-llc-sanctioned-for-due-diligence-failures-in-private-offerings2022-05-06 https://mybadbroker.com/brokers/william-lawrence-groeneveld-barred-for-refusing-finra-testimony2022-05-05 https://mybadbroker.com/brokers/peter-james-fetherston-accused-of-converting-customer-funds2022-05-03 https://mybadbroker.com/brokers/richard-matthew-brendza-suspended-for-falsifying-trade-codes2022-05-03 https://mybadbroker.com/brokers/ubs-securities-llc-fined-for-market-access-control-failures2022-05-03 https://mybadbroker.com/brokers/startengine-capital-fined-350000-for-crowdfunding-violations2022-05-01 https://mybadbroker.com/brokers/wefunder-fined-1-4-million-for-crowdfunding-rule-violations2022-05-01 https://mybadbroker.com/brokers/this-case-demonstrates-egregious-misconduct-where-a-failing-firm-essentially-raided-customer-accounts-to-cover-its-financial-difficulties2022-05-01 https://mybadbroker.com/brokers/investors-rely-on-firms-to-seek-best-execution-rather-than-route-orders-in-ways-that-benefit-the-firm-at-customers-expense-when-firms-route-to-their-own-systems-despite-evidence-of-better-execution2022-05-01 https://mybadbroker.com/brokers/morgan-stanley-fined-225000-for-improper-lopr-reporting-and-supervisory-failures2022-04-27 https://mybadbroker.com/brokers/berthel-fisher-fined-100000-for-options-trading-violations-and-supervisory-failures2022-04-26 https://mybadbroker.com/brokers/janie-garza-clark-barred-for-refusing-to-testify-about-relationship-with-client-and-cash-gifts2022-04-25 https://mybadbroker.com/brokers/ubs-financial-services-fined-350000-for-late-trace-reporting-and-supervisory-failures2022-04-25 https://mybadbroker.com/brokers/philip-marchese-suspended-12-months-for-excessive-trading-causing-246327-in-customer-losses2022-04-22 https://mybadbroker.com/brokers/diane-marie-simmons-barred-for-refusing-to-provide-information-about-termination2022-04-22 https://mybadbroker.com/brokers/amanda-lynn-williams-barred-for-falsifying-sie-exam-score-report2022-04-21 https://mybadbroker.com/brokers/madison-sloan-trewhitt-iii-barred-for-refusing-to-testify-about-unprofessional-images2022-04-21 https://mybadbroker.com/brokers/doan-cong-nguyen-barred-for-refusing-to-provide-information-about-undisclosed-outside-business2022-04-21 https://mybadbroker.com/brokers/suresh-v-kumar-charged-with-operating-undisclosed-outside-business-and-making-misrepresentations2022-04-20 https://mybadbroker.com/brokers/bruce-cameron-amman-suspended-12-months-for-undisclosed-private-securities-transaction2022-04-20 https://mybadbroker.com/brokers/jonathan-william-affe-suspended-15-days-for-impersonating-customer-after-prior-finra-warning2022-04-20 https://mybadbroker.com/brokers/shawn-elizabeth-parker-barred-for-converting-25000-through-falsified-event-expense-reports2022-04-20 https://mybadbroker.com/brokers/jason-lynn-dipaola-hearing-decision-finding-violations-for-undisclosed-discretionary-trading2022-04-18 https://mybadbroker.com/brokers/john-tayib-lund-suspended-four-months-for-electronically-signing-customer-names-without-permission2022-04-18 https://mybadbroker.com/brokers/philip-anthony-riposo-barred-for-failing-to-testify-about-creating-fictitious-account-statements2022-04-18 https://mybadbroker.com/brokers/robert-wayne-mooney-barred-for-refusing-to-testify-about-unauthorized-insurance-agency-ownership2022-04-18 https://mybadbroker.com/brokers/alpine-securities-corporation-hearing-decision-finding-expulsion-for-customer-abuse-and-conversion2022-04-15 https://mybadbroker.com/brokers/steven-kent-romjue-suspended-six-months-for-falsifying-representative-codes-on-trades2022-04-14 https://mybadbroker.com/brokers/shawn-edward-good-barred-for-refusing-to-testify-after-client-accusations2022-04-14 https://mybadbroker.com/brokers/ibn-financial-services-fined-45000-for-failing-to-disclose-material-information-about-private-offerings2022-04-14 https://mybadbroker.com/brokers/first-horizon-advisors-fined-175000-for-failing-to-supervise-representative-in-investment-club-scheme2022-04-13 https://mybadbroker.com/brokers/william-martin-beasley-suspended-one-month-for-falsifying-trade-representative-codes2022-04-12 https://mybadbroker.com/brokers/john-winslow-barred-for-refusing-to-provide-information-about-client-funds2022-04-12 https://mybadbroker.com/brokers/jonathan-adam-stuffer-barred-for-refusing-to-testify-about-undisclosed-outside-business-and-loan-fraud2022-04-12 https://mybadbroker.com/brokers/wesley-cummings-barred-for-refusing-to-provide-information-about-termination2022-04-12 https://mybadbroker.com/brokers/christopher-john-passero-suspended-three-months-for-sharing-in-customer-losses-of-2495602022-04-11 https://mybadbroker.com/brokers/patrick-nicholas-teutonico-suspended-three-months-for-excessive-trading-causing-42000-in-losses2022-04-08 https://mybadbroker.com/brokers/adam-petersen-summers-suspended-five-months-for-forging-supervisor-signature2022-04-08 https://mybadbroker.com/brokers/stephen-spencer-gladstone-barred-for-refusing-to-provide-testimony-about-private-securities-transactions2022-04-08 https://mybadbroker.com/brokers/fusion-analytics-securities-expelled-for-securities-fraud-in-bond-offerings2022-04-08 https://mybadbroker.com/brokers/jay-sailesh-sheth-suspended-three-months-for-sharing-in-customer-losses-and-private-securities-transactions2022-04-07 https://mybadbroker.com/brokers/robert-c-david-jr-suspended-20-months-for-falsifying-customer-account-information2022-04-07 https://mybadbroker.com/brokers/national-securities-corporation-fined-300000-for-pre-ipo-scheme-that-deceived-investors2022-04-06 https://mybadbroker.com/brokers/neil-david-berlant-suspended-five-months-for-discretionary-trading-without-authorization2022-04-05 https://mybadbroker.com/brokers/marianne-oshee-smith-barred-for-converting-45100-from-senior-citizen-customers2022-04-05 https://mybadbroker.com/brokers/finra-expels-dakota-securities-international-and-bars-bruce-martin-zipper2022-04-02 https://mybadbroker.com/brokers/gina-rea-kidd-barred-for-failing-to-appear-for-finra-testimony2022-04-01 https://mybadbroker.com/brokers/francis-joseph-velten-jr-accused-of-failing-to-respond-to-finra-investigation-into-churning-and-flipping2022-03-31 https://mybadbroker.com/brokers/john-anthony-orlando-accused-of-churning-customer-account-and-unsuitable-recommendations2022-03-31 https://mybadbroker.com/brokers/jeffrey-paul-weiner-suspended-for-impersonating-customers-to-obtain-insurance-information2022-03-31 https://mybadbroker.com/brokers/matthew-allen-trueg-suspended-for-affixing-customer-signatures-without-authorization2022-03-31 https://mybadbroker.com/brokers/jason-andrew-wilk-barred-for-failing-to-appear-for-testimony-in-excessive-trading-investigation2022-03-31 https://mybadbroker.com/brokers/scott-neil-hananel-suspended-for-excessive-trading-and-unauthorized-discretion-in-customer-accounts2022-03-29 https://mybadbroker.com/brokers/michael-mcdermott-sr-suspended-for-unauthorized-trading-and-false-record-entries2022-03-28 https://mybadbroker.com/brokers/jeffrey-karakatsanis-barred-for-conversion-and-improper-use-of-bank-funds2022-03-25 https://mybadbroker.com/brokers/jonathan-michael-turner-suspended-for-selling-away-and-false-compliance-attestations2022-03-24 https://mybadbroker.com/brokers/eric-edward-nicolassy-suspended-for-excessive-trading-and-unauthorized-discretion2022-03-24 https://mybadbroker.com/brokers/arkady-ginsburg-suspended-for-excessive-and-unsuitable-trading-in-customer-accounts2022-03-23 https://mybadbroker.com/brokers/wr-securities-fined-100000-for-overstating-trading-volume-and-supervisory-failures2022-03-23 https://mybadbroker.com/brokers/investors-should-be-cautious-about-promissory-notes-or-other-investments-offered-by-their-financial-professionals-that-are-not-processed-through-the-firm-such-selling-away-transactions-lack-the-c2022-03-22 https://mybadbroker.com/brokers/michael-joseph-giannetti-barred-for-refusing-to-cooperate-with-investigation-into-undisclosed-outside-business-activities2022-03-22 https://mybadbroker.com/brokers/natixis-securities-americas-fined-400000-for-short-interest-reporting-failures2022-03-22 https://mybadbroker.com/brokers/bd4ria-fined-45000-for-failing-to-disclose-material-information-about-issuers-delayed-sec-filings2022-03-22 https://mybadbroker.com/brokers/andrew-benjamin-edenbaum-suspended-for-participating-in-undisclosed-private-securities-transaction2022-03-21 https://mybadbroker.com/brokers/david-michael-stevens-barred-for-forging-signatures-on-life-insurance-applications-and-loan-documents2022-03-21 https://mybadbroker.com/brokers/marc-augustus-reda-barred-for-churning-customer-accounts-and-charging-excessive-commissions2022-03-21 https://mybadbroker.com/brokers/craig-stanton-norton-barred-for-market-manipulation-of-microcap-security2022-03-21 https://mybadbroker.com/brokers/dempsey-lord-smith-fined-70000-for-unsuitable-sales-and-material-omissions2022-03-21 https://mybadbroker.com/brokers/michael-joseph-muratore-suspended-for-forgery-falsification-and-becoming-undisclosed-beneficiary2022-03-18 https://mybadbroker.com/brokers/geneos-wealth-management-fined-150000-for-alternative-mutual-fund-supervision-failures-and-omissions2022-03-18 https://mybadbroker.com/brokers/patrick-joseph-oneill-suspended-for-willfully-failing-to-disclose-felony-charges2022-03-17 https://mybadbroker.com/brokers/donovan-thomas-kelly-suspended-for-selling-away-and-false-compliance-attestations2022-03-16 https://mybadbroker.com/brokers/steven-martin-barnett-suspended-for-mismarking-solicited-orders-as-unsolicited2022-03-16 https://mybadbroker.com/brokers/paul-ronald-koch-barred-for-refusing-to-cooperate-with-finra-investigation2022-03-16 https://mybadbroker.com/brokers/performance-trust-capital-partners-fined-115000-for-late-trace-reporting-and-supervisory-failures2022-03-16 https://mybadbroker.com/brokers/gregory-scott-hanshew-accused-of-failing-to-provide-complete-response-to-finra-investigation2022-03-15 https://mybadbroker.com/brokers/michael-campopiano-suspended-for-causing-inaccurate-trade-records-by-changing-representative-codes2022-03-15 https://mybadbroker.com/brokers/garrett-caplin-barred-for-failing-to-cooperate-with-finra-investigation2022-03-15 https://mybadbroker.com/brokers/investors-should-verify-that-any-investment-opportunities-presented-by-their-financial-professionals-are-processed-through-and-approved-by-the-representatives-firm-the-firms-supervisory-review-pr2022-03-14 https://mybadbroker.com/brokers/kajie-mcmullen-barred-for-failing-to-provide-complete-response-to-finra-investigation2022-03-11 https://mybadbroker.com/brokers/sevaag-matossian-barred-for-converting-employers-funds-through-false-fraud-claims2022-03-11 https://mybadbroker.com/brokers/crown-capital-securities-fined-75000-for-improper-payments-to-unregistered-entities2022-03-11 https://mybadbroker.com/brokers/aegis-investments-fined-for-inadequate-anti-money-laundering-testing2022-03-11 https://mybadbroker.com/brokers/vorpahl-wing-securities-and-tim-vorpahl-fined-for-supervisory-failures-allowing-excessive-trading2022-03-11 https://mybadbroker.com/brokers/stockkings-capital-llc-and-gregory-lewis-sanctioned-for-misleading-marketing-and-misuse-of-firm-funds2022-03-11 https://mybadbroker.com/brokers/stephen-gregory-whitman-facing-charges-for-failing-to-cooperate-with-finra-investigation2022-03-08 https://mybadbroker.com/brokers/fusion-analytics-securities-accused-of-securities-fraud-in-bond-offerings2022-03-07 https://mybadbroker.com/brokers/jazmin-gabriela-carpenter-suspended-for-causing-inaccurate-books-and-records-by-changing-trade-codes2022-03-07 https://mybadbroker.com/brokers/lauren-nicole-scheible-barred-for-failing-to-cooperate-with-exam-cheating-investigation2022-03-03 https://mybadbroker.com/brokers/dan-edward-droeg-barred-for-converting-over-878000-from-trust-assets2022-03-03 https://mybadbroker.com/brokers/michael-walter-mandel-suspended-for-participating-in-undisclosed-private-securities-transactions2022-03-02 https://mybadbroker.com/brokers/jayanth-hebbar-suspended-for-maintaining-undisclosed-outside-brokerage-accounts-and-trading-violations2022-03-01 https://mybadbroker.com/brokers/mark-giordano-suspended-for-undisclosed-outside-business-activities2022-01-31 https://mybadbroker.com/brokers/thomas-foster-suspended-for-changing-representative-codes-on-trades2022-01-31 https://mybadbroker.com/brokers/kelly-thomason-barred-for-refusing-to-appear-for-finra-testimony2022-01-31 https://mybadbroker.com/brokers/carl-thomason-barred-for-refusing-to-appear-for-finra-testimony2022-01-31 https://mybadbroker.com/brokers/steven-schisler-barred-for-unsuitable-recommendation-and-extensive-misconduct2022-01-31 https://mybadbroker.com/brokers/cim-securities-sanctioned-for-supervisory-failures-and-inadequate-suitability-procedures2022-01-31 https://mybadbroker.com/brokers/jimmy-nunez-suspended-for-forging-customer-signature-and-providing-false-statements2022-01-28 https://mybadbroker.com/brokers/michael-knittel-suspended-for-participating-in-undisclosed-private-securities-transaction2022-01-28 https://mybadbroker.com/brokers/michael-dmytryshyn-suspended-for-maintaining-inaccurate-books-and-records2022-01-28 https://mybadbroker.com/brokers/francis-cid-barred-for-refusing-to-produce-documents-to-finra2022-01-28 https://mybadbroker.com/brokers/dennis-ayre-barred-for-refusing-to-appear-for-finra-testimony2022-01-28 https://mybadbroker.com/brokers/tarek-mohamed-barred-for-failing-to-provide-complete-response-to-finra2022-01-27 https://mybadbroker.com/brokers/riley-smith-suspended-for-having-access-to-prohibited-materials-during-examination2022-01-26 https://mybadbroker.com/brokers/mark-smith-barred-for-refusing-to-appear-for-finra-testimony2022-01-26 https://mybadbroker.com/brokers/drivewealth-institutional-fined-100000-for-regulation-sho-and-trade-reporting-violations2022-01-26 https://mybadbroker.com/brokers/alan-price-suspended-for-borrowing-from-customer-without-firm-permission2022-01-25 https://mybadbroker.com/brokers/loewen-ondaatje-mccutcheon-usa-fined-for-anti-money-laundering-program-failures2022-01-25 https://mybadbroker.com/brokers/joseph-lascala-suspended-for-excessive-trading-and-unauthorized-discretion2022-01-24 https://mybadbroker.com/brokers/brian-blanco-suspended-for-forging-insurance-customer-signatures2022-01-24 https://mybadbroker.com/brokers/andrew-ang-suspended-for-failing-to-disclose-conflict-of-interest-in-research-reports2022-01-24 https://mybadbroker.com/brokers/joshua-nicholas-barred-for-converting-customer-funds-and-providing-false-brokerage-statement2022-01-24 https://mybadbroker.com/brokers/robert-mcnamara-suspended-for-exercising-unauthorized-discretion-after-prior-awc2022-01-21 https://mybadbroker.com/brokers/bradley-reifler-bar-remanded-by-sec-for-reconsideration-of-sanctions2022-01-21 https://mybadbroker.com/brokers/rebecca-everett-suspended-for-reusing-client-signatures-on-forms2022-01-20 https://mybadbroker.com/brokers/dinu-tise-suspended-for-unethically-inducing-customer-to-name-him-as-beneficiary2022-01-19 https://mybadbroker.com/brokers/shane-perry-suspended-for-failing-to-disclose-federal-tax-liens2022-01-19 https://mybadbroker.com/brokers/william-athas-charged-with-churning-customer-accounts2022-01-18 https://mybadbroker.com/brokers/partho-ghosh-suspended-for-engaging-in-undisclosed-outside-business-activity2022-01-18 https://mybadbroker.com/brokers/joel-kichline-suspended-for-exercising-unauthorized-discretion2022-01-13 https://mybadbroker.com/brokers/devin-wicker-barred-for-converting-50000-in-customer-funds2022-01-13 https://mybadbroker.com/brokers/christopher-joseph-suspended-for-undisclosed-outside-business-activities-and-private-securities-transactions2022-01-12 https://mybadbroker.com/brokers/michael-pena-barred-for-refusing-to-appear-for-finra-testimony2022-01-11 https://mybadbroker.com/brokers/mercer-hicks-barred-for-unsuitable-recommendations-to-senior-customers2022-01-11 https://mybadbroker.com/brokers/jefferies-llc-sanctioned-for-improper-intermarket-sweep-orders-and-inadequate-supervision2022-01-11 https://mybadbroker.com/brokers/etrade-securities-fined-350000-for-inadequate-manipulative-trading-surveillance2022-01-11 https://mybadbroker.com/brokers/john-lopinto-suspended-for-excessive-trading-in-customer-accounts2022-01-10 https://mybadbroker.com/brokers/thomas-lykos-barred-for-cheating-on-qualification-examination2022-01-10 https://mybadbroker.com/brokers/philip-myers-suspended-for-providing-excessive-gift-to-bank-employee2022-01-07 https://mybadbroker.com/brokers/jefferies-llc-fined-for-late-trace-reporting-of-corporate-debt-transactions2022-01-06 https://mybadbroker.com/brokers/shawn-patrick-suspended-for-impersonating-customers-in-401k-plan-calls2022-01-04 https://mybadbroker.com/brokers/warren-rowe-barred-for-refusing-to-cooperate-with-finra-investigation2022-01-03 https://mybadbroker.com/brokers/third-seven-capital-llc-sanctioned-for-net-capital-violations2022-01-03 https://mybadbroker.com/brokers/integrity-brokerage-llc-fined-for-allowing-disqualified-individual-to-associate2022-01-03 https://mybadbroker.com/brokers/credit-suisse-securities-fined-9-million-for-multiple-operational-failures2022-01-01 https://mybadbroker.com/brokers/roger-oakley-waite-barred-for-refusing-to-respond-to-finra-investigation2021-12-31 https://mybadbroker.com/brokers/triad-advisors-fined-195000-and-ordered-to-pay-over-510000-in-restitution-for-failing-to-supervise-alternative-mutual-fund-recommendations2021-12-29 https://mybadbroker.com/brokers/rbc-capital-markets-fined-2-6-million-for-large-options-positions-reporting-failures2021-12-29 https://mybadbroker.com/brokers/kyle-zachary-wittgren-barred-for-refusing-to-testify-about-forgeries-and-policy-violations2021-12-27 https://mybadbroker.com/brokers/amy-marjorie-obrien-barred-for-refusing-to-provide-documents-about-improper-receipt-of-customer-funds2021-12-23 https://mybadbroker.com/brokers/david-khezri-barred-for-refusing-to-provide-documents-about-unsuitable-recommendations2021-12-23 https://mybadbroker.com/brokers/cabrera-capital-markets-fined-50000-for-trade-confirmation-violations2021-12-23 https://mybadbroker.com/brokers/barclays-capital-inc-fined-and-ordered-to-disgorge-profits-after-over-tendering-shares2021-12-23 https://mybadbroker.com/brokers/scott-alan-kaufman-barred-for-refusing-to-appear-for-testimony-about-bond-trading-strategy2021-12-22 https://mybadbroker.com/brokers/jason-patrick-hamby-barred-for-refusing-to-provide-testimony-to-finra2021-12-22 https://mybadbroker.com/brokers/intesa-sanpaolo-imi-securities-corp-fined-650000-for-aml-and-surveillance-failures2021-12-22 https://mybadbroker.com/brokers/emerson-equity-llc-and-dominic-julio-baldini-fined-and-ordered-to-pay-restitution-for-supervisory-failures2021-12-22 https://mybadbroker.com/brokers/suntrust-robinson-humphrey-now-truist-securities-fined-150000-for-email-review-failures2021-12-21 https://mybadbroker.com/brokers/gbm-international-fined-250000-for-anti-money-laundering-program-failures2021-12-21 https://mybadbroker.com/brokers/hayk-papoyan-barred-for-failing-to-disclose-outside-account-and-providing-false-testimony2021-12-20 https://mybadbroker.com/brokers/wells-fargo-ordered-to-pay-3-36-million-in-restitution-for-529-plan-share-class-failures2021-12-20 https://mybadbroker.com/brokers/ubs-financial-services-ordered-to-pay-over-4-million-in-restitution-for-529-plan-share-class-supervision-failures2021-12-20 https://mybadbroker.com/brokers/mml-investors-services-ordered-to-pay-617726-in-restitution-for-529-plan-share-class-and-breakpoint-failures2021-12-20 https://mybadbroker.com/brokers/lpl-financial-ordered-to-pay-982354-in-restitution-for-529-plan-rollover-failures2021-12-20 https://mybadbroker.com/brokers/fsc-securities-royal-alliance-and-sagepoint-ordered-to-pay-over-412000-in-restitution-for-529-plan-share-class-supervision-failures2021-12-20 https://mybadbroker.com/brokers/tor-brokerage-llc-fined-for-failing-to-supervise-4-million-in-private-securities-transactions2021-12-20 https://mybadbroker.com/brokers/merrill-lynch-fined-1-2-million-for-failing-to-produce-timely-and-complete-documents-to-finra2021-12-20 https://mybadbroker.com/brokers/merrill-lynch-fined-950000-after-representatives-stole-over-6-million-from-customers-via-ach-transfers2021-12-20 https://mybadbroker.com/brokers/michael-john-giovannelli-barred-for-unauthorized-trading-and-providing-false-documents-to-finra2021-12-17 https://mybadbroker.com/brokers/sagepoint-financial-fined-700000-for-failing-to-supervise-representatives-with-disciplinary-histories2021-12-17 https://mybadbroker.com/brokers/daniel-della-rosa-barred-for-failing-to-provide-information-and-appear-for-testimony2021-12-16 https://mybadbroker.com/brokers/rbc-capital-markets-fined-550000-and-ordered-to-pay-456155-in-restitution-for-high-yield-bond-supervision-failures2021-12-15 https://mybadbroker.com/brokers/gaetano-salvatore-ciambriello-barred-for-failing-to-appear-for-testimony2021-12-14 https://mybadbroker.com/brokers/wells-fargo-fined-650000-and-ordered-to-pay-over-2-million-in-restitution-for-failing-to-supervise-early-uit-rollovers2021-12-13 https://mybadbroker.com/brokers/thomas-patrick-barton-iii-barred-for-forging-insurance-applications2021-12-10 https://mybadbroker.com/brokers/american-portfolios-financial-services-fined-225000-after-sales-assistant-converts-390000-of-customer-funds2021-12-10 https://mybadbroker.com/brokers/rodney-deleths-washington-barred-for-refusing-to-provide-information-to-finra2021-12-09 https://mybadbroker.com/brokers/alan-scot-feigenbaum-suspended-for-exercising-discretion-without-authorization-and-using-unauthorized-email2021-12-06 https://mybadbroker.com/brokers/wells-fargo-advisors-financial-network-and-wells-fargo-clearing-services-fined-2-25-million-for-anti-money-laundering-recordkeeping-violations2021-12-06 https://mybadbroker.com/brokers/eric-carl-willer-suspended-for-unsuitable-bond-recommendations-and-misleading-communications2021-12-03 https://mybadbroker.com/brokers/ecoban-securities-corporation-fined-for-multiple-supervisory-failures2021-12-03 https://mybadbroker.com/brokers/citigroup-global-markets-inc-fined-for-failing-to-amend-form-u4s-timely2021-12-02 https://mybadbroker.com/brokers/douglas-jarrett-rosenberg-suspended-and-ordered-to-pay-restitution-for-excessive-trading2021-12-01 https://mybadbroker.com/brokers/peter-n-girgis-suspended-and-ordered-to-pay-169677-in-restitution-for-excessive-trading2021-12-01 https://mybadbroker.com/brokers/robert-patrick-foley-suspended-for-failing-to-supervise-representatives-who-excessively-traded-accounts2021-12-01 https://mybadbroker.com/brokers/pasquale-james-rappa-suspended-for-failing-to-supervise-representative-who-excessively-traded-senior-accounts2021-11-30 https://mybadbroker.com/brokers/ian-e-james-suspended-for-failing-to-disclose-tax-lien-and-undisclosed-outside-business-activity2021-11-30 https://mybadbroker.com/brokers/robert-anthony-guidicipietro-suspended-for-excessive-trading-in-elderly-customer-account2021-11-29 https://mybadbroker.com/brokers/jesus-rodriguez-barred-for-refusing-to-provide-information-about-personal-use-of-client-credit-line2021-11-29 https://mybadbroker.com/brokers/blair-edwards-olsen-barred-for-failing-to-disclose-criminal-charges-and-refusing-to-cooperate2021-11-26 https://mybadbroker.com/brokers/aaron-douglas-maurer-suspended-two-years-for-selling-unapproved-securities-in-company-he-owned2021-11-24 https://mybadbroker.com/brokers/traderfield-securities-and-mario-divita-sanctioned-for-failing-to-prevent-excessive-trading2021-11-24 https://mybadbroker.com/brokers/william-w-leboeuf-suspended-for-private-securities-transactions-and-outside-business-activity2021-11-23 https://mybadbroker.com/brokers/tyrone-maurice-smiles-barred-for-undisclosed-vacation-rental-business-and-false-referral-statements2021-11-23 https://mybadbroker.com/brokers/mcnally-financial-services-fined-for-inadequate-supervision-of-non-traditional-etps-and-complex-options2021-11-23 https://mybadbroker.com/brokers/minh-duc-vo-suspended-for-selling-unapproved-annuity-and-misappropriating-customer-information2021-11-22 https://mybadbroker.com/brokers/james-e-kelly-suspended-for-commission-sharing-arrangement-not-reflected-on-books-and-records2021-11-22 https://mybadbroker.com/brokers/murray-todd-petersen-barred-for-unapproved-jewelry-sales-and-undisclosed-private-securities-transactions2021-11-22 https://mybadbroker.com/brokers/caroline-mohan-barred-for-refusing-to-testify-about-undisclosed-outside-activities2021-11-22 https://mybadbroker.com/brokers/stonex-financial-fined-for-failing-to-immediately-display-customer-limit-orders2021-11-22 https://mybadbroker.com/brokers/westpark-capital-and-richard-rappaport-sanctioned-for-negligent-misrepresentations-in-parent-company-note-offerings2021-11-22 https://mybadbroker.com/brokers/james-earl-simpson-barred-for-refusing-to-provide-information-about-alleged-misappropriation2021-11-19 https://mybadbroker.com/brokers/stacy-leflore-suspended-for-reckless-misrepresentations-on-covid-19-relief-loan-application2021-11-17 https://mybadbroker.com/brokers/albert-lewis-degaetano-suspended-for-unauthorized-trading-and-misrepresenting-employer-identity2021-11-17 https://mybadbroker.com/brokers/roderick-len-whited-barred-for-converting-44170-in-charitable-donations2021-11-15 https://mybadbroker.com/brokers/craig-jay-sherman-suspended-for-failing-to-investigate-excessive-trading-and-email-review-failures2021-11-12 https://mybadbroker.com/brokers/newbridge-securities-sanctioned-for-escrow-and-contingency-offering-violations2021-11-12 https://mybadbroker.com/brokers/kenny-mejia-suspended-for-making-reckless-misrepresentations-on-covid-19-relief-loan-application2021-11-11 https://mybadbroker.com/brokers/garrett-manning-suspended-for-maintaining-outside-securities-accounts-without-firm-consent2021-11-10 https://mybadbroker.com/brokers/andrew-timothy-durham-suspended-for-forging-customer-signature-on-life-insurance-application2021-11-10 https://mybadbroker.com/brokers/jorge-a-reyes-barred-and-ordered-to-pay-4-million-for-fraud-and-unsuitable-promissory-note-sales2021-11-09 https://mybadbroker.com/brokers/steven-dwayne-musielski-barred-for-refusing-to-provide-documents-about-sales-practices2021-11-09 https://mybadbroker.com/brokers/jose-luis-batalla-suspended-for-failing-to-disclose-188000-federal-tax-lien2021-11-08 https://mybadbroker.com/brokers/david-john-melilli-barred-for-refusing-to-produce-documents-about-discretionary-trading2021-11-08 https://mybadbroker.com/brokers/donna-jean-hines-barred-for-refusing-to-testify-about-bitcoin-investment-facilitation2021-11-08 https://mybadbroker.com/brokers/glendale-securities-and-albert-laubenstein-fined-for-anti-money-laundering-failures2021-11-08 https://mybadbroker.com/brokers/sebastian-wyczawski-suspended-for-excessive-trading-in-two-customer-accounts2021-11-05 https://mybadbroker.com/brokers/antoine-nabih-souma-suspended-for-providing-incorrect-and-misleading-account-reports2021-11-05 https://mybadbroker.com/brokers/michael-james-may-suspended-for-excessive-trading-including-margin-usage2021-11-05 https://mybadbroker.com/brokers/leonard-joseph-marzocco-suspended-for-excessive-and-unsuitable-options-trading2021-11-05 https://mybadbroker.com/brokers/okechukwu-linton-suspended-for-willfully-failing-to-disclose-felony-charges-on-form-u42021-11-04 https://mybadbroker.com/brokers/patrick-charles-kincheloe-barred-for-refusing-to-testify-about-unregistered-person-involvement2021-11-03 https://mybadbroker.com/brokers/brian-jerome-rice-suspended-for-borrowing-money-from-customer-without-firm-approval2021-11-02 https://mybadbroker.com/brokers/brian-stanley-pearce-suspended-for-private-securities-transactions-without-firm-approval2021-11-02 https://mybadbroker.com/brokers/paul-eric-flesche-suspended-for-failing-to-supervise-asia-based-customer-accounts2021-11-02 https://mybadbroker.com/brokers/james-alan-seijas-barred-for-refusing-to-testify-about-alleged-ponzi-scheme2021-11-02 https://mybadbroker.com/brokers/abdul-matin-rahmani-barred-for-undisclosed-outside-business-and-providing-false-information2021-11-02 https://mybadbroker.com/brokers/patrick-pierre-louis-barred-for-converting-customer-funds-for-personal-real-estate-investment-scheme2021-11-02 https://mybadbroker.com/brokers/thomas-lee-johnson-barred-for-converting-over-1-million-after-firm-pricing-error2021-11-02 https://mybadbroker.com/brokers/aegis-capital-corp-ordered-to-pay-2-8-million-for-supervisory-failures-allowing-excessive-trading2021-11-01 https://mybadbroker.com/brokers/leslie-george-markus-jr-suspension-lifted-after-compliance-with-arbitration-award2021-08-17 https://mybadbroker.com/brokers/jason-michael-fekete-suspension-lifted-after-complying-with-arbitration-award2021-08-11 https://mybadbroker.com/brokers/duncan-tyrel-sandlin-suspension-lifted-after-compliance-with-arbitration-award2019-07-22 https://mybadbroker.com/brokers/finra-disciplinary-action-helen-thomasine-andrews-suspension-lifted-after-arbitration-compliance2019-04-26 https://mybadbroker.com/brokers/finra-disciplinary-action-matthew-grady-suspension-lifted-after-arbitration-compliance2017-12-14 https://mybadbroker.com/brokers/cynthia-lynn-wadkinson-suspension-lifted-after-complying-with-arbitration-award2016-04-26 https://mybadbroker.com/brokers/luke-lannister-suspended-for-failure-to-comply-with-finra-arbitration-award https://mybadbroker.com/brokers/philip-leo-gazzo-suspended-for-failure-to-comply-with-finra-arbitration-award https://mybadbroker.com/brokers/phillip-curtis-anderson-suspended-for-failure-to-comply-with-finra-arbitration-award https://mybadbroker.com/brokers/the-decision-cited-multiple-examples-demonstrating-that-customers-did-not-authorize-the-firms-transfers-of-their-securities-or-seizures-of-cash-to-cover-the-5 https://mybadbroker.com/brokers/alpine-securities-expelled-and-ordered-to-pay-2-3-million-restitution-for-converting-customer-funds https://mybadbroker.com/brokers/best-execution-is-a-fundamental-broker-dealer-obligation-requiring-firms-to-seek-the-most-favorable-terms-reasonably-available-for-customer-orders-this-case-demonstrates-that-firms-cannot-prioritize https://mybadbroker.com/brokers/the-firm-also-failed-to-disclose-material-aspects-of-its-relationships-with-markets-in-its-quarterly-rule-606-reports https://mybadbroker.com/brokers/additionally https://mybadbroker.com/brokers/when-routing-to-dark-pools https://mybadbroker.com/brokers/the-firms-best-execution-committee-reviewed-reports-showing-lower-fill-rates-in-superx-compared-to-orders-routed-to-exchanges-despite-this-information https://mybadbroker.com/brokers/deutsche-bank-securities-fined-2-million-for-best-execution-violations https://mybadbroker.com/brokers/bentley-edward-blackmon-suspended-for-participating-in-undisclosed-private-securities-transaction https://mybadbroker.com/brokers/this-case-illustrates-that-when-firms-terminate-representatives-for-cause https://mybadbroker.com/brokers/mcdonnells-refusal-to-provide-information-prevented-finra-from-investigating-the-circumstances-of-these-alleged-violations-and-determining-whether-investors-were-harmed-the-refusal-to-cooperate-obs https://mybadbroker.com/brokers/serving-as-trustee-of-a-trust-while-working-as-a-registered-representative-creates-potential-conflicts-of-interest-and-must-be-disclosed-to-the-firm-as-an-outside-business-activity-firms-need-to-know https://mybadbroker.com/brokers/david-robert-mcdonnell-barred-for-refusing-to-cooperate-with-investigation-into-private-securities-transactions https://mybadbroker.com/brokers/johnsons-failure-to-disclose-his-participation-meant-his-firm-could-not-evaluate-the-potential-conflicts-of-interest-created-by-his-ownership-stake-in-the-management-entity https://mybadbroker.com/brokers/grant-douglas-johnson-suspended-six-months-for-undisclosed-private-securities-transactions https://mybadbroker.com/brokers/four-firms-sanctioned-2-6-million-for-fully-paid-securities-lending-violations https://mybadbroker.com/brokers/the-complaint-also-alleges-blankenship-caused-his-firm-to-maintain-inaccurate-books-and-records-by-mismarking-mutual-fund-purchases-as-unsolicited-when-he-actually-solicited-these-investments-these-a https://mybadbroker.com/brokers/d-allen-blankenship-accused-of-unsuitable-mutual-fund-trading-and-missing-breakpoints https://mybadbroker.com/brokers/kenneth-gerard-schaefer-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award https://mybadbroker.com/brokers/james-r-myers-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award https://mybadbroker.com/brokers/kevin-andrew-hobbs-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award https://mybadbroker.com/brokers/gerald-john-cocuzzo-suspended-by-finra-under-rule-9554-for-failure-to-comply-with-arbitration-award https://mybadbroker.com/brokers/annie-simons-suspended-by-finra-under-rule-9552d-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/shoaib-qureshi-suspended-by-finra-under-rule-9552d-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/shaquane-smith-thompson-barred-by-finra-under-rule-9552h-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/carlos-ramirez-barred-by-finra-under-rule-9552h-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/thomas-james-prieur-barred-by-finra-under-rule-9552h-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/jonathan-mendall-long-barred-by-finra-under-rule-9552h-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/sylviah-kemunto-barred-by-finra-under-rule-9552h-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/chun-suk-elmejjad-barred-by-finra-under-rule-9552h-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/james-brennan-brown-barred-by-finra-under-rule-9552h-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/tellson-securities-suspended-by-finra-under-rule-9552-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/securities-capital-corporation-suspended-by-finra-under-rule-9552-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/melvin-securities-l-l-c-suspended-by-finra-under-rule-9552-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/berchwood-partners-llc-suspended-by-finra-under-rule-9552-for-failure-to-provide-or-keep-information-current https://mybadbroker.com/brokers/finra-complaint-filed-against-stephen-james-sullivan-for-alleged-failure-to-cooperate-with-churning-and-excessive-trading-investigation https://mybadbroker.com/brokers/finra-complaint-filed-against-gary-francis-harpe-for-alleged-failure-to-cooperate-with-investigation-into-termination-and-felony-charge https://mybadbroker.com/brokers/finra-complaint-filed-against-michael-charles-grande-for-alleged-failure-to-cooperate-with-mutual-fund-trading-investigation https://mybadbroker.com/brokers/finra-complaint-filed-against-thomas-james-baumann-for-alleged-failure-to-cooperate-with-unauthorized-trading-investigation https://mybadbroker.com/brokers/finra-bars-beliveau-bays-for-forging-customer-signatures-and-providing-false-statements-to-regulators https://mybadbroker.com/brokers/finra-bars-andrew-joseph-egber-for-refusing-to-cooperate-in-investigation-of-possible-theft-of-client-funds https://mybadbroker.com/brokers/finra-bars-matthew-r-logan-for-using-imposter-to-cheat-on-regulatory-exams-and-lying-to-firm-appeal-pending-in-federal-court https://mybadbroker.com/brokers/finra-bars-thomas-lee-johnson-for-converting-over-1-million-from-currency-conversion-error https://mybadbroker.com/brokers/finra-bars-gabriel-ruiz-for-refusing-to-cooperate-in-conflicts-of-interest-and-fair-dealing-investigation https://mybadbroker.com/brokers/finra-bars-joseph-samuel-vanelli-iii-for-refusing-to-cooperate-in-outside-business-activity-investigation https://mybadbroker.com/brokers/finra-bars-fernando-corcuchia-for-refusing-to-testify-in-company-policy-violation-investigation https://mybadbroker.com/brokers/finra-bars-michael-christopher-venturino-and-orders-disgorgement-for-churning-customer-accounts-appeal-pending https://mybadbroker.com/brokers/finra-bars-james-brett-stuart-for-supervisory-failures-leading-to-excessive-trading-losses-and-refusal-to-testify https://mybadbroker.com/brokers/finra-bars-robert-steven-meyer-for-refusing-to-complete-on-the-record-testimony-in-membership-agreement-violation-investigation https://mybadbroker.com/brokers/finra-bars-kyle-benjamin-baker-for-refusing-on-the-record-testimony https://mybadbroker.com/brokers/finra-bars-jason-mark-kurtz-for-refusing-to-cooperate-in-code-of-ethics-violation-investigation https://mybadbroker.com/brokers/finra-bars-randell-alan-heller-for-refusing-to-provide-documents-in-client-impersonation-investigation https://mybadbroker.com/brokers/finra-bars-john-douglas-engler-sr-for-refusing-to-testify-in-unsuitable-investment-and-misappropriation-investigation