FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2022
According to FINRA Disciplinary actions for October 2022, 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 |
Todd Kalish | Park Edge Advisors, LLC |
McDonald Partners LLC | |
Nicolas Lumermann | Morgan Stanley |
Credit Suisse Securities (USA) LLC | |
Jeff McElroy | BOK Financial Securities, Inc. |
LPL Financial LLC | |
Kevin NcNeil | SW Financial |
Joseph Gunnar & Co., LLC | |
Alex Salcedo | Scottrade, Inc. |
Wells Fargo Clearing Services, LLC | |
Francisco Valenzuela | Morgan Stanley |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |