According to FINRA Disciplinary actions for November 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Debbie Sue…
Articles Posted in FINRA Disciplinary Actions
FINRA Bars Registered Individuals in October 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for Oct 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Kamran Azim…
FINRA Suspends Registered Individuals in October 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for October 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Maricela Alvarez…
FINRA Suspends Registered Individuals in October 2016 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for October 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS George William Carris John Carris Investments LLC Brockington Securities, Inc. Michael Kevin…
FINRA Suspends Registered Individuals in July 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for July 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS David F.…
FINRA Suspends Registered Individuals in July 2016 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for July 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Robert Joseph Altemus Merrill Lynch, Pierce, Fenner & Smith Inc Citigroup Global Markets…
Registered Individuals Suspended by FINRA in June 2016 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for June 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Barry Boyd Blount, Sr. Insight Advisors, LLC Ameriprise Financial Services, Inc. Joseph…
FINRA Suspends Registered Individuals for Violations of FINRA Rules in April 2016
According to FINRA Disciplinary actions for April 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Jonathan Arroyo…
FINRA Suspends Individuals in April 2016 for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for April 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Russell Andrew Carbonara Pinebridge Securities, LLC Aria Capital Advisors, LLC Roger Briggs…
FINRA Bars Individuals in April 2016 for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for April 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Thomas Edward…