FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2020
According to FINRA Disciplinary actions for October 2020, 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 |
Conrad Coggeshall | Packerland Brokerage Services, Inc. |
USA Financial Securities Corporation | |
Roderick Day | Cabot Lodge Securities LLC |
IFS Securities | |
Marvin Egorin | Wedbush Securities Inc. |
Wells Fargo Clearing Services, LLC | |
Frank Grant IV | |
Andrew Slocum | Charles Schwab & Co., Inc. |
Merrill Lynch, Pierce, Fenner & Smith Inc | |
Junior Tonkam | PFS Investments Inc. |