FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July 2023
According to FINRA Disciplinary actions for July 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 |
Michael Borning | Pruco Securities, LLC |
Wells Fargo Clearing Services, LLC | |
Conway Donaldson | Morgan Stanley Smith Barney |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
Bridget Fernandez | UBS Financial Services Inc. |
Wachovia Securities, Inc. | |
Christopher Polinaire | Network 1 Financial Securities Inc. |
Arive Capital Markets | |
Tariq Sales | Spartan Capital Securities, LLC |
Newbridge Securities Corporation | |
Troy West | Innovation Partners, LLC |
Southeast Investments, N.C. Inc. |