A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for October 2017, 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 Nicholas Esteban…
According to FINRA Disciplinary actions for October 2017, 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 James Curtis Ackerman Sloan Securities Corp. Sloan Investment Advisors LLC David Charles…
According to FINRA Disciplinary actions for October 2017, 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 Kayla Jo…
According to FINRA Disciplinary actions for September 2017, 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 Christina Albert…
According to FINRA Disciplinary actions for September 2017, 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 Alvin Wayne Blancett Raymond James Financial Services, Inc. Merrill Lynch, Pierce, Fenner &…
According to FINRA Disciplinary actions for September 2017, 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 Kellye C.…
According to FINRA Disciplinary actions for August 2017, 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 Chad Michael…
According to FINRA Disciplinary actions for August 2017, 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 Clifford Eugene Alexander III Summit Brokerage Services, Inc. Cantella & Co., Inc. …
According to FINRA Disciplinary actions for August 2017, 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 Dimitris Alifragis…
According to FINRA Disciplinary actions for July 2017, 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 Kellye C.…