FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November 2021
According to FINRA Disciplinary actions for November 2021, 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 |
Peter Budd Jr. | Benjamin F. Edwards & Company, Inc. |
UBS Financial Services Inc. | |
Michael Leahy | First Standard Financial Company LLC |
Alexander Capital, L.P. | |
Steven Mitchell | UBS Financial Services Inc. |
Procyon Private Wealth Partners LLC | |
Alvaro Paiz | Edward Jones |
LPL Financial LLC | |
Gregory Rachele | H.D. Vest Investment Services |