FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2021
According to FINRA Disciplinary actions for December 2021, 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 |
William Friedman | Pinnacle Investments, LLC |
Woodstock Financial Group, Inc. | |
Johnnie Jones | Network 1 Financial Securities Inc. |
National Securities Corporation | |
Toni Marshall | J.P. Morgan Securities LLC |
Dominic Scalzi | Deutsche Bank Securities Inc. |
Banc of America Investment Services, Inc. | |
Rosemary Vrablic | Deutsche Bank Securities Inc. |
Banc of America Investment Services, Inc. |