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CHARLES SCHWAB & CO., INC.
Information
- Reporter ID
- CHAS
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://schwab.com/legal/sec-605
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-31-2026 | https://schwab.com/legal/sec-605 |
GFI SECURITIES LLC
Information
- Reporter ID
- GFIS
- Reporter Type
- Broker-Dealer
- Current Report URL
- http://disclosures.bxstech.com/gfis/606/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-31-2026 | http://disclosures.bxstech.com/gfis/606/ |
CITIGROUP GLOBAL MARKETS INC.
Information
- Reporter ID
- CGWM
- Reporter Type
- Broker-Dealer
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-04-2026 | https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure.pdf | |
| 07-31-2026 | http://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure_202501.pdf |
PARK AVENUE SECURITIES LLC
Information
- Reporter ID
- PAWM
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://nms605.karngroup.com/2b78d32c5545465451773d3d
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-31-2026 | https://nms605.karngroup.com/2b78d32c5545465451773d3d |
FINRA Fines UBS Financial $20 Million for Anti-Money Laundering Violations
WASHINGTON—FINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations.
2026090419801 Elias Chris Gerodemos CRD 7510054 AWC vrp.pdf
Gerodemos refused to provide information and documents requested pursuant to FINRA Rule 8210. As a result, Gerodemos violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
BGC FINANCIAL, L.P.
Information
- Reporter ID
- BGCE
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://disclosure.bestxstats.com/bgcp/606/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-31-2026 | https://disclosure.bestxstats.com/bgcp/606/ |
FORIS CAPITAL US LLC
Information
- Reporter ID
- FORS
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/fors/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-08-2026 | https://public.s3.com/rule605/fors/ | |
| 07-31-2026 | https://urldefense.com/v3/__https://public.s3.com/rule605/avnu/__;!!Ifoxw8Usf-Ni!YHiFb9oUf5VwfshRM7DZ-VUAfZYNs0LLClDcbtv_kiLrmT5DiZNWzU48jVsyLEcMh0e3riFfHyWmb_WpHRLFJnS25MnHv13y$ |
CITIGROUP GLOBAL MARKETS INC.
Information
- Reporter ID
- ONEC
- Reporter Type
- Alternative Trading System
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-04-2026 | https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure.pdf | |
| 07-31-2026 | https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure_202501.pdf | |
| 07-31-2026 | https://public.s3.com/rule605/onec |