FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2023
According to FINRA Disciplinary actions for August 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 |
Dennis Ayre | Hilltop Securities Inc. |
Oppenheimer & Co. Inc. | |
Bruce Davis | Wells Fargo Clearing Services, LLC |
J.P. Morgan Securities LLC | |
Gail Milon | ELE Wealth Advisors, Inc. |
MSI Financial Services, Inc. | |
Trevor Perry | Foreside Financial Services, LLC |
J.P. Morgan Institutional Investments Inc. | |
Frank Weiss | Bankers Life Securities, Inc. |
Farmers Financial Solutions, LLC |