FINRA Disciplinary Actions For March 2020 Names Registered Individuals Barred For Failure To Provide Information
According to FINRA Disciplinary actions for March 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 |
Michael Bressman | FCG Advisors, LLC |
Mary Ann Dineen | UBS Financial Services Inc. |
David Fagenson | Newbridge Securities Corporation |
UBS Financial Services Inc. | |
Mark Figueroa | Spartan Capital Securities, LLC |
Arive Capital Markets | |
Karen Kopatz | Raymond James & Associates, Inc. |
Morgan Keegan & Company, Inc. | |
Jordan Rodriguez | NYLife Securities LLC |
Frederick Stow | Raymond James & Associates, Inc. |
Wells Fargo Advisors, LLC | |
Mark Wetherell | Kovack Securities Inc. |
Invest Financial Corporation | |
Marcus Wright | Farmers Financial Solutions, LLC |
J.P. Morgan Securities LLC |