FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement May 2023
According to FINRA Disciplinary actions for May 2023, 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 |
Damian Baird | Moors & Cabot, Inc. |
Morgan Stanley | |
Bridget Fernandez | Ultimate Financial Investments, LLC |
UBS Financial Services Inc. | |
Rajesh Gupta | Morgan Stanley |
J.P. Morgan Securities LLC | |
Donald Smith | Provident Private Capital Partners, Inc. |
Vestax Securities Corporation | |
Brian Wurdemann | RBC Capital Markets, LLC |
UBS Financial Services Inc. |