According to FINRA Disciplinary actions for October 2023, 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…
Articles Posted in Stockbroker Misconduct
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2023
According to FINRA Disciplinary actions for October 2023, 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 David Burch…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2023
According to FINRA Disciplinary actions for September 2023, 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 Laurence Allen NYPPEX, LLC Northeast Securities, Inc. Joseph Desapio Spartan Capital…
FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2023
According to FINRA Disciplinary actions for September 2023, 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…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2023
According to FINRA Disciplinary actions for September 2023, 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 Michael Adinovich…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2023
According to FINRA Disciplinary actions for August 2023, 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 Dennis Ayre Hilltop Securities Inc. Oppenheimer & Co. Inc. Bruce Davis …
FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2023
According to FINRA Disciplinary actions for August 2023, 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…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2023
According to FINRA Disciplinary actions for August 2023, 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 Joshua Lovings…
Former Cetera Broker Clarice Saw Charged With Fraud By The SEC
Clarice Saw (Clarice Crystal Saw CRD 2633118, aka “Chin Saw,” “Clarice Chin Saw”) was previously employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. (CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. She has been…
Did You Lose Money With Chuck Roberts?
Chuck Roberts (CRD# 2064602) is a registered broker and investment advisor currently employed with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of New York, NY. He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. (CRD# 7059) and Oppenheimer & Co. Inc. (CRD# 249), all of New…