FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2021
According to FINRA Disciplinary actions for March 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 |
Christian Evans | Morgan Stanley |
Highland Capital Funds Distributor, Inc. | |
Mark Grenier | David Lerner Associates, Inc. |
Maxim Group LLC | |
Harry Lum Jr. | Horace Mann Investors, Inc. |
Allstate Financial Services, LLC | |
Dorinda Lumpkin | BBVA Securities Inc. |
Timothy Melvin | Horace Mann Investors, Inc. |