~id,~label,contentType:String,title:String,subtypeDesc:String,problemDesc:String,customerName:String,repName:String,firmName:String,sourceUri:String
16-02110,award,"""PDF""","""16-02110""",,,,,,https://www.finra.org/sites/default/files/aao_documents/16-02110.pdf
2453708,repCrd,,,,,,"""RUSTMAN, TODD ALLEN""",,
0,subtype,,,"""ACCOUNT RELATED""",,,,,
1,problemCode,,,,Supervision Failure,,,,
2,problemCode,,,,Sales Practice Misrepresentation,,,,
3,problemCode,,,,Sales Practice,,,,
4,problemCode,,,,Sales Practice Suitability,,,,
5,problemCode,,,,Sales Practice Fraud,,,,
6,customer,,,,,"""RICHARD MARCONI""",,,
46214,firm,,,,,,,"""NEXT FINANCIAL GROUP, INC.""",
23131,firm,,,,,,,"""ROYAL ALLIANCE ASSOCIATES, INC.""",
16-02458,award,"""PDF""","""16-02458""",,,,,,https://www.finra.org/sites/default/files/aao_documents/16-02458.pdf
2715424,repCrd,,,,,,"""CROOK, JOHN NELSON""",,
7,subtype,,,"""ACCOUNT RELATED""",,,,,
8,problemCode,,,,Sales Practice Trading,,,,
9,problemCode,,,,Supervision Failure,,,,
10,problemCode,,,,Sales Practice Misrepresentation,,,,
11,problemCode,,,,Sales Practice,,,,
12,problemCode,,,,Sales Practice Omission,,,,
13,problemCode,,,,Sales Practice Suitability,,,,
14,problemCode,,,,Sales Practice Fraud,,,,
15,customer,,,,,"""CHARLES JONES""",,,
705,firm,,,,,,,"""RAYMOND JAMES & ASSOCIATES, INC.""",
06-01394,award,"""PDF""","""06-01394""",,,,,,
16,subtype,,,"""ACCOUNT RELATED""",,,,,
17,problemCode,,,,Supervision Failure,,,,
18,problemCode,,,,Sales Practice,,,,
19,problemCode,,,,Sales Practice Fraud,,,,
20,customer,,,,,"""SAROJ KOTHARI""",,,
21,customer,,,,,"""RAJNIKANT KOTHARI""",,,
7556,firm,,,,,,,"""MORGAN STANLEY DW INC.""",
13-03704,award,"""PDF""","""13-03704""",,,,,,
22,subtype,,,"""ACCOUNT RELATED""",,,,,
23,problemCode,,,,Sales Practice Trading,,,,
24,problemCode,,,,Supervision Failure,,,,
25,problemCode,,,,Sales Practice,,,,
26,customer,,,,,"""ALAN DEUTSCH""",,,
27,customer,,,,,"""ELANA DEUTSCH""",,,
28,customer,,,,,"""ALAN AYELETHASHACHA""",,,
29,customer,,,,,"""ELIE DEUTSCH""",,,
149777,firm,,,,,,,"""MORGAN STANLEY""",
14-02936,award,"""PDF""","""14-02936""",,,,,,https://www.finra.org/sites/default/files/aao_documents/14-02936.pdf
5048331,repCrd,,,,,,"""LANGER, MICHELLE REBECCA""",,
2339324,repCrd,,,,,,"""TWEED, ROBERT RUSSEL""",,
2236889,repCrd,,,,,,"""CANNELLA, JEFFREY JAMES""",,
3248874,repCrd,,,,,,"""JONES, MICHAEL WASHINGTON""",,
30,subtype,,,"""ACCOUNT RELATED""",,,,,
31,problemCode,,,,Supervision Failure,,,,
32,problemCode,,,,Sales Practice Misrepresentation,,,,
33,problemCode,,,,Market Trading,,,,
34,problemCode,,,,Sales Practice,,,,
35,problemCode,,,,Sales Practice Omission,,,,
36,problemCode,,,,Sales Practice Suitability,,,,
37,problemCode,,,,Operations,,,,
38,problemCode,,,,Sales Practice Fraud,,,,
39,customer,,,,,"""ROBERT SCHMIEDEKE""",,,
40,customer,,,,,"""HELEN SCHWEIGER""",,,
41,customer,,,,,"""HERBERT SCHWEIGER""",,,
29604,firm,,,,,,,"""NATIONAL PLANNING CORPORATION""",
36487,firm,,,,,,,"""UNITED SECURITIES ALLIANCE, INC.""",
23131,firm,,,,,,,"""ROYAL ALLIANCE ASSOCIATES, INC.""",
14-03857,award,"""PDF""","""14-03857""",,,,,,
42,subtype,,,"""ACCOUNT RELATED""",,,,,
43,problemCode,,,,Supervision Failure,,,,
44,problemCode,,,,Sales Practice Misrepresentation,,,,
45,problemCode,,,,Sales Practice,,,,
46,problemCode,,,,Sales Practice Omission,,,,
47,problemCode,,,,Sales Practice Suitability,,,,
48,problemCode,,,,Operations,,,,
49,problemCode,,,,Sales Practice Fraud,,,,
50,customer,,,,,"""CHARLOTTE SEP""",,,
51,customer,,,,,"""CHARLOTTE DTD""",,,
13092,firm,,,,,,,"""MUTUAL SECURITIES, INC.""",
15-03341,award,"""PDF""","""15-03341""",,,,,,
52,subtype,,,Employment,,,,,
53,problemCode,,,,Employment,,,,
54,problemCode,,,,Sales Practice Fees & Commission,,,,
55,customer,,,,,"""FRANK EDER""",,,
5493,firm,,,,,,,"""NEUBERGER BERMAN MANAGEMENT LLC""",
2908,firm,,,,,,,"""NEUBERGER BERMAN BD LLC""",
16-00688,award,"""PDF""","""16-00688""",,,,,,https://www.finra.org/sites/default/files/aao_documents/16-00688.pdf
2675795,repCrd,,,,,,"""KANJI, GHALIB ABDULLA""",,
56,subtype,,,Employment,,,,,
57,problemCode,,,,Employment,,,,
16-00746,award,"""PDF""","""16-00746""",,,,,,https://www.finra.org/sites/default/files/aao_documents/16-00746.pdf
5048331,repCrd,,,,,,"""LANGER, MICHELLE REBECCA""",,
2339324,repCrd,,,,,,"""TWEED, ROBERT RUSSEL""",,
2236889,repCrd,,,,,,"""CANNELLA, JEFFREY JAMES""",,
3248874,repCrd,,,,,,"""JONES, MICHAEL WASHINGTON""",,
58,subtype,,,"""ARBITRATION ACCOUNT RELATED""",,,,,
59,subtype,,,"""ARBITRATION ACCOUNT ACTIVITY""",,,,,
60,problemCode,,,,Supervision Failure,,,,
61,problemCode,,,,Sales Practice Misrepresentation,,,,
62,problemCode,,,,Market Trading,,,,
63,problemCode,,,,Sales Practice,,,,
64,problemCode,,,,Sales Practice Omission,,,,
65,problemCode,,,,Sales Practice Suitability,,,,
66,problemCode,,,,Operations,,,,
67,problemCode,,,,Sales Practice Fraud,,,,
68,customer,,,,,"""ROBERT SCHMIEDEKE""",,,
69,customer,,,,,"""HELEN SCHWEIGER""",,,
70,customer,,,,,"""HERBERT SCHWEIGER""",,,
29604,firm,,,,,,,"""NATIONAL PLANNING CORPORATION""",
36487,firm,,,,,,,"""UNITED SECURITIES ALLIANCE, INC.""",
23131,firm,,,,,,,"""ROYAL ALLIANCE ASSOCIATES, INC.""",
16-02545,award,"""PDF""","""16-02545""",,,,,,
71,subtype,,,Employment,,,,,
72,problemCode,,,,Employment,,,,
73,problemCode,,,,Sales Practice Fees & Commission,,,,
74,customer,,,,,"""ROBERT DECKER""",,,
75,customer,,,,,"""POUYA LAVIAN""",,,
76,customer,,,,,"""SCOTT PEDVIS""",,,
816,firm,,,,,,,"""CREDIT SUISSE SECURITIES (USA) LLC""",
16-03088,award,"""PDF""","""16-03088""",,,,,,
77,subtype,,,Employment,,,,,
78,problemCode,,,,Employment,,,,
79,problemCode,,,,Sales Practice Fees & Commission,,,,
80,customer,,,,,"""EDDY SANTOS""",,,
19616,firm,,,,,,,"""WELLS FARGO CLEARING SERVICES, LLC""",
16-03305,award,"""PDF""","""16-03305""",,,,,,
81,subtype,,,"""ACCOUNT RELATED""",,,,,
82,problemCode,,,,Supervision Failure,,,,
83,problemCode,,,,Sales Practice Misrepresentation,,,,
84,problemCode,,,,Sales Practice,,,,
85,problemCode,,,,Sales Practice Omission,,,,
86,problemCode,,,,Sales Practice Suitability,,,,
87,problemCode,,,,Operations,,,,
88,problemCode,,,,Sales Practice Fraud,,,,
89,customer,,,,,"""WILLIAM STUART""",,,
90,customer,,,,,"""LORI HUTCHINSON""",,,
91,customer,,,,,"""GREGORY AMES""",,,
92,customer,,,,,"""DOLPHUS BROXTON""",,,
93,customer,,,,,"""LIVINGSTON COATE""",,,
94,customer,,,,,"""GEORGE LEE""",,,
95,customer,,,,,"""TIMOTHY ROSSON""",,,
96,customer,,,,,"""EBBA DAMPIER""",,,
97,customer,,,,,"""GREGORY PRESCOTT""",,,
22704,firm,,,,,,,"""WFG INVESTMENTS, INC.""",
16-03472,award,"""PDF""","""16-03472""",,,,,,
98,subtype,,,"""ACCOUNT RELATED""",,,,,
99,problemCode,,,,Supervision Failure,,,,
100,problemCode,,,,Sales Practice,,,,
101,problemCode,,,,Sales Practice Suitability,,,,
102,problemCode,,,,Operations,,,,
103,problemCode,,,,Sales Practice Fraud,,,,
104,customer,,,,,"""BERTRAM SANDERS""",,,
105,customer,,,,,"""MARTIN MYRICK""",,,
106,customer,,,,,"""LAURIE MILLER""",,,
107,customer,,,,,"""MICHAEL MILLER""",,,
108,customer,,,,,"""TERRI MYRICK""",,,
109,customer,,,,,"""ALAN MELTON""",,,
110,customer,,,,,"""LEWIS ABRONSKI""",,,
111,customer,,,,,"""JENNIFER BENDER""",,,
112,customer,,,,,"""JERE MILLER""",,,
22704,firm,,,,,,,"""WFG INVESTMENTS, INC.""",
17-00001,award,"""PDF""","""17-00001""",,,,,,
4987758,repCrd,,,,,,"""COHEN, ROSE""",,
113,subtype,,,"""ACCOUNT RELATED""",,,,,
114,problemCode,,,,Supervision Failure,,,,
115,problemCode,,,,Sales Practice,,,,
116,problemCode,,,,Operations,,,,
117,customer,,,,,"""GIGI JORDAN""",,,
17-00463,award,"""PDF""","""17-00463""",,,,,,
118,subtype,,,Employment,,,,,
119,problemCode,,,,Employment,,,,
120,customer,,,,,"""SHAHIDA HOSSAIN""",,,
19616,firm,,,,,,,"""WELLS FARGO CLEARING SERVICES, LLC""",
17-00688,award,"""PDF""","""17-00688""",,,,,,
2650571,repCrd,,,,,,,,
121,subtype,,,Employment,,,,,
17-00757,award,"""PDF""","""17-00757""",,,,,,
122,subtype,,,"""EXECUTIONS""",,,,,
123,problemCode,,,,Sales Practice Trading,,,,
124,problemCode,,,,Supervision Failure,,,,
125,problemCode,,,,Sales Practice Misrepresentation,,,,
126,problemCode,,,,Market Trading,,,,
127,problemCode,,,,Sales Practice,,,,
128,problemCode,,,,Sales Practice Omission,,,,
129,problemCode,,,,Sales Practice Suitability,,,,
130,problemCode,,,,Operations,,,,
131,problemCode,,,,Miscellaneous,,,,
132,customer,,,,,"""FREIDA BOSH""",,,
149777,firm,,,,,,,"""MORGAN STANLEY""",
17-00486,award,"""PDF""","""17-00486""",,,,,,https://www.finra.org/sites/default/files/aao_documents/17-00486.pdf
16-03701,award,"""PDF""","""16-03701""",,,,,,https://www.finra.org/sites/default/files/aao_documents/16-03701.pdf
17-00822,award,"""PDF""","""17-00822""",,,,,,https://www.finra.org/sites/default/files/aao_documents/17-00822.pdf
17-00850,award,"""PDF""","""17-00850""",,,,,,https://www.finra.org/sites/default/files/aao_documents/17-00850.pdf
17-01407,award,"""PDF""","""17-01407""",,,,,,https://www.finra.org/sites/default/files/aao_documents/17-01407.pdf