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2024084515701 Jeremy J. Squires CRD 6584655 AWC vrp.pdf
Squires failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose that he had been charged with a felony. As a result, Squires violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. For this violation, Squires is suspended in all capacities for one month and fined $5,000...
WEALTHFRONT BROKERAGE LLC
Information
- Reporter ID
- WLTF
- Reporter Type
- OTC Market Maker
- Current Report URL
- https://public.s3.com/rule605/wlth
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-14-2026 | https://public.s3.com/rule605/wlth |
WEALTHFRONT BROKERAGE LLC
Information
- Reporter ID
- WLTH
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/wlth
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-14-2026 | https://public.s3.com/rule605/wlth |
2025085271501 Michael S. Schoolcraft CRD 6375300 AWC vrp.pdf
In June 2026, Schoolcraft refused to produce information and documents requested by FINRA pursuant to FINRA Rule 8210. Accordingly, Schoolcraft violated FINRA Rules 8210 and 2010 and consents to a bar from associating with any FINRA member in all capacities...
25-02324.pdf
Expungement Award
FINRA Taps Christine Kieffer to Lead Investor Education Efforts
WASHINGTON – FINRA today announced that investor education and protection veteran Christine Kieffer will serve as Senior Vice President of FINRA’s Office of Investor Education and President of the FINRA Investor Education Foundation (FINRA Foundation). The appointment is effective immediately.
ALPHAX US
Information
- Reporter ID
- ALPX
- Reporter Type
- Alternative Trading System
- Current Report URL
- https://www.tmxalphaus.com/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-14-2026 | https://www.tmxalphaus.com/ |
Christine Kieffer
Christine Kieffer is Senior Vice President of Investor Education at FINRA. In this role, she manages FINRA’s strategic initiatives to educate and protect retail investors. She also serves as President of the FINRA Investor Education Foundation, where she directs research and education initiatives that help Americans build financial stability, invest for life goals, and guard against fraud and financial exploitation.