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7 Jun 2024, 6:19 am
According to FINRA Disciplinary actions for May 2024, the following individuals were suspended 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. [read post]
26 Oct 2023, 7:49 am
According to FINRA Disciplinary actions for October 2023, 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 David Burch Raymond James & Associates, Inc. [read post]
30 Dec 2022, 7:37 am
According to FINRA Disciplinary actions for December 2022, 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 Jay Dougall Principal Securities, Inc. [read post]
24 Jan 2022, 2:01 pm
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
5 May 2023, 9:15 am
According to FINRA Disciplinary actions for April 2023, 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 Casper J.P. [read post]
8 Mar 2021, 12:19 pm
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
20 Jun 2023, 7:26 am
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
28 Apr 2022, 8:39 am
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
22 Feb 2022, 12:09 pm
According to FINRA Disciplinary actions for February 2022, 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 Joshua Baker State Farm VP Management Corp. [read post]
28 May 2021, 8:02 am
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
28 May 2021, 12:19 pm
According to FINRA Disciplinary actions for April 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 Tracy Adams Avantax Investment Services, Inc. [read post]
7 Jul 2021, 1:40 pm
According to FINRA Disciplinary actions for June 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 Nathaniel Eklund J.P. [read post]
30 Nov 2022, 1:49 pm
According to FINRA Disciplinary actions for November 2022, 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 Chad Barancyk Great Point Capital LLC First Allied Securities, Inc. [read post]
5 Jul 2022, 8:39 am
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
1 Jun 2022, 9:16 am
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
19 Feb 2021, 7:25 am
According to FINRA Disciplinary actions for January 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 Casey Brougham Nationwide Securities, LLC Nationwide Securities, Inc. [read post]
25 Oct 2023, 12:29 pm
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
11 Nov 2022, 9:39 am
According to FINRA Disciplinary actions for October 2022, 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 Darien Bonney MML Investors Services, LLC NYLife Securities Inc. [read post]
2 May 2022, 1:59 pm
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
28 Feb 2023, 7:11 am
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
