Unless otherwise indicated, suspensions will begin with the opening of business on Monday, March 18, 1996. The information relating to matters contained in this section is current as of March 5, 1996. Information received subsequent to March 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Domestic Capital, Inc. (Buffalo, New York), Michael A. Wier (Registered
Unless otherwise indicated, suspensions will begin with the opening of business on Tuesday, February 20, 1996. The information relating to matters contained in this section is current as of February 5, 1996. Information received subsequent to February 5, 1996 is not reflected in this section.
Firms Expelled, Individuals Sanctioned
Burnett Grey & Co., Inc. (Atlanta, Georgia) and Linda M
FINRA disciplinary actions for the month of July 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
FINRA disciplinary actions for the month of June 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
FINRA disciplinary actions for the month of May 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
The Uniform Forms U4 and U5 are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs) and the jurisdictions. Forms BD and BDW are joint forms used by the Securities and Exchange Commission (SEC), SROs, and the jurisdictions. The forms are used, respectively, to register and to terminate the registrations of broker-dealers.
FINRA disciplinary actions for the month of April 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
FINRA disciplinary actions for the month of March 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
FINRA disciplinary actions for the month of February 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
FINRA disciplinary actions for the month of January 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
