FINRA Bars Stockbrokers For Failing To Provide FINRA With Information June 2022
According to FINRA Disciplinary actions for June 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 |
Kyleigh Haynes | Northwestern Mutual Investment Services, LLC |
Grant Hebeisen | U.S. Bancorp Investments, Inc. |
Ameriprise Financial Services, Inc. | |
Carl Ippolito | Pruco Securities, LLC |
Eagleview Securities, Inc. | |
Jaime Quintero | American Independent Securities Goup, LLC |
AFA Financial Group, LLC | |
J-waun Smiley | Morgan Stanley |
Charles Schwab & Co., Inc. | |
John Sommo | UBS Financial Services Inc. |
Wells Fargo Advisors, LLC | |
Albert Tejada | Northwestern Mutual Investment Services, LLC |