A public record of broker misconduct
Don’t let a bad broker destroy your financial future.
Search our database of broker violations and financial misconduct before you invest. Protect yourself with the facts — they’re already on file.
2,290 disciplinary records · updated with every FINRA release · free to search
How it works
Three minutes now beats three years in arbitration later.
Enter broker information
A name or a CRD number is all it takes. Every broker and firm registered with FINRA has one.
View violation history
Fines, suspensions, bars, censures — pulled from public FINRA disciplinary actions and updated as they publish.
Make informed decisions
A clean record is a good sign. A long one is a red flag. Either way, now you know before your money moves.
Fresh off the docket
Recent disciplinary actions
2026-05-06 /CRD 2726566 /CA
Randy Cleve Fox Suspended for Failure to Comply with FINRA Arbitration Award
Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement
2026-05-05 /CRD 2224269 /TX
Eileen Law Cure Suspended for Failure to Comply with FINRA Arbitration Award
Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement
2026-04-30 /CRD 39543 /IA
Cambridge Investment Research Fined $200,000 for Failure to Supervise UIT Recommendations
Failed to reasonably supervise registered representative's pattern of recommending early UIT sales, causing 184 customers to pay at least $389,200.62 in unnecessary costs
2026-04-30 /CRD 2026-04-30
New Jersey Broker Cameryn Lindsay Barred for Refusing to Cooperate with SIE Examination Investigation
Declined to produce information and documents requested by FINRA in connection with its investigation into irregularities in her Securities Industry Essentials examination
2026-04-28 /CRD 133715 /TX
SWBC Investment Services Fined $25,000 for Net Capital Deficiency and Reporting Violations
Conducted securities business while failing to maintain minimum required net capital for 16 business days due to misclassification of assets, filed inaccurate FOCUS reports, and failed to timely file deficiency notices
2026-04-27 /CRD 2365633 /LA
James Keith Cox Suspended for Failure to Comply with FINRA Arbitration Award
Suspended pursuant to FINRA Rule Series 9554 for failure to comply with FINRA arbitration award or related settlement
2,290+
Broker records
$25M+
Recoveries
25+
Years experience
Monthly
FINRA updates
The attorney behind the database
Richard Frankowski
Securities attorney. Former industry insider. Professionally suspicious.
For more than 25 years, Richard Frankowski has represented investors harmed by the people who were supposed to protect their money. He has recovered over $25 million for clients nationwide through FINRA arbitration and securities litigation.
He built this database because the warning signs are almost always public — buried in regulatory filings nobody reads. Now you can read them in plain English, for free, before you hand anyone your savings.
Credentials on file
- Alabama's Top 100 Lawyers
- Martindale-Hubbell AV 5.0 Preeminent Rating
- AVVO's Highest 10.0 Rating
- American Association for Justice
- PIABA Foundation — Board of Directors
- National Trial Lawyers
- Series 65 License
Published author
- The Practitioner's Guide to Securities Arbitration (ABA, 2013)
- The Investors' Guide to Protecting Your Financial Future (PIABA Foundation, 2016)
Questions on file
Frequently asked questions
A CRD number is the unique ID that FINRA assigns to every registered broker and brokerage firm in the United States. It stays with them for their entire career — including every fine, suspension, and customer complaint filed along the way. You can find it on your account statements or by asking your broker directly.
Been harmed by a bad broker?
Found your broker in here? Call us.
If you lost money with a broker who has a record, you may be able to recover it. The consultation is free, confidential, and you pay nothing unless you recover.
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- Regulatory violation claims
Performance, measured
How did your account actually perform?
myAnalysis™ does the math your broker never showed you — rate of return, gains and losses, performance against the market. Upload your statements and see exactly how far behind you are.
Analyze my performancemyanalysis.info