According to FINRA Disciplinary actions for September 2021, 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 John Barrett…
Securities Arbitration Lawyers Blog
FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2021
According to FINRA Disciplinary actions for September 2021, 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 Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2021
According to FINRA Disciplinary actions for September 2021, 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 Sam Aziz David A. Noyes & Company Coastal Equities, Inc. Gary Helbling…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2021
According to FINRA Disciplinary actions for August 2021, 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 Omer Ali-Taha BB&T Investment Services, Inc. Citigroup Global Markets Inc. Katie Blando…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2021
According to FINRA Disciplinary actions for August 2021, 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 Lorenzo Atkins…
FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2021
According to FINRA Disciplinary actions for August 2021, 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 Suspends Registered Individuals For Violations Of FINRA Rules July 2021
According to FINRA Disciplinary actions for July 2021, 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 July 2021
According to FINRA Disciplinary actions for July 2021, 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 Trent Drake…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July, 2021
According to FINRA Disciplinary actions for July 2021, 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 David Allen Avenir Financial Group GunnAllen Financial, Inc. Jameile Cawley Horace…
Was Wells Fargo Complicit In A Ponzi Scheme?
When a person or entity runs any type of fraud, they generally go to great lengths to disguise their activities from the financial institutions to avoid fraud detection. Many banks have the power to put a stop to any illegal activity that involves their institution to avoid regulatory trouble. Wells…