Securities Arbitration Lawyers BlogRegistered Individuals Suspended by FINRA in March 2019 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for March 2019, 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 |
| Barrera, Cynthia | Morgan Stanley Smith Barney |
| Merrill Lynch, Pierce, Fenner & Smith | |
| Beyn, Edward | Rothchild Lieberman LLC |
| Craig Scott Capital | |
| Blanchard, Keith | Waddell & Reed |
| Block, Gabriel | First Standard Financial Co |
| National Securities Corp | |
| Brown, Danard | Joseph Stone Capital |
| First Standard Financial Co | |
| Eckstein, Matthew | Sisk Investment Services |
| Gould, Ambroson & Associates | |
| Green, Mark | US Bancorp Investments |
| Wells Fargo Advisors Financial Network | |
| Harris, Heath | Citigroup Global Markets |
| Wells Fargo Clearing Services | |
| Hudgins, Sandra | Ameriprise Financial Services |
| Merrill Lynch, Pierce, Fenner & Smith | |
| Jones, Alexander | LPL Financial |
| Morgan Stanley | |
| Lanci, Sean | First Standard Financial Co |
| Rothschild Lieberman | |
| McNutt, Jared | PNC Investments |
| JP Morgan Securities | |
| Nunez, Michael | Morgan Stanley |
| JP Morgan Securities | |
| Posillico, Paul | Aegis Capital Corp |
| Obsidian Financial Group | |
| Powers, Dorothy | Ameriprise Financial Services |
| IDS Life Insurance Co | |
| Preston, Duncan | |
| Puricelli, Terrance | Wells Fargo Advisors |
| Morgan Keegan & Co | |
| Rota, Dominic | Meyers Associates |
| Rothschild Lieberman LLC | |
| Schreiner, Phillip | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith |
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