FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2022
According to FINRA Disciplinary actions for September 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 |
Dwayne Bullen | Primary Capital LLC |
Joseph Stone Capital, LLC | |
James Flynn | IFS Securities |
Voya Financial Advisors, Inc. | |
David Melilli | Cambridge Investment Research, Inc. |
SagePoint Financial, Inc. | |
Joseph Pratt | Stifel Nicolaus & Co Inc |
Wells Fargo Advisors LLC | |
Joseph Valdini | Aegis Capital Corp. |
Worden Capital Management LLC | |
Steven Wyatt | Morgan Stanley Smith Barney |
Morgan Stanley & Co, Incorporated |