A National Securities Arbitration & Investment Fraud Law Firm
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…
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.…
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…
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…
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…
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…
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…
According to FINRA Disciplinary actions for March 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 Raymond Francis…
According to FINRA Disciplinary actions for March 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 Randy Lamar…
According to FINRA Disciplinary actions for March 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 Woodley Hannon Bagwell, Jr. Raymond James & Associates, Inc. Morgan Keegan & Company,…