Articles Posted in FINRA Disciplinary Actions

According to FINRA Disciplinary actions for April 2022, 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   Mamdoh Abas   Cetera Advisor Networks LLC   ProEquities, Inc.   John Agostino   LPL…

According to FINRA Disciplinary actions for April 2022, 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   Antonio Bestard…

According to FINRA Disciplinary actions for April 2022, 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. However, these individuals remain bound by…

According to FINRA Disciplinary actions for March 2022, 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   Kameise Bickham…

According to FINRA Disciplinary actions for March 2022, 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. However, these individuals remain bound by…

According to FINRA Disciplinary actions for March 2022, 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   Joseph Likens   LPL Financial LLC   Cornerstone Wealth Management, LLC   Guy Newman  …

FINRA recently sanctioned Aegis Capital (CRD# 15007) and issued a Letter of Acceptance, Waiver & Consent (AWC) following an investigation into the company’s business practices. This case originated from a customer arbitration complaint and a FINRA review of the firm. In its investigation, FINRA found that: From July 2014 through…

Boca Raton, FL-based National Securities Corporation has received a fine of $663,000 after FINRA found that it deceived investors from December 2017 through January 2018. At issue is the price of shares offered in a private placement. National Securities will pay $300,000 in fines and the rest in disgorgement, plus…

According to FINRA Disciplinary actions for February 2022, 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. However, these individuals remain bound by…

According to FINRA Disciplinary actions for February 2022, 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   Christ Baltas   Worden Capital Management LLC   Wilmington Capital Securities, LLC   Timothy Flynn…