Ben Halali suspended. Ben Halali, a registered representative from Morgan Hill, CA formerly with Allstate Financial and MML Investors Services, both of San Jose, CA was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides…
Assan Faal suspended by FINRA. Assan Faal, a registered representative from Desplaines, Illinois formerly with Stifel Nicolaus and Sterne Agee was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
Phillip Donnan barred by FINRA. Phillip Donnan, a registered representative from Easley, SC formerly with AXA Advisors of Piedmont, SC was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
Mohamed Baksh Barred. Mohamed Baksh, a registered representative from Dumont, NJ formerly with PFS Investments of Rockaway, NJ and Duluth, GA was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member…
FINRA bars broker Virgil Santos. Virgil Santos, a registered representative from Cerritos, CA formerly with All State Financial Services, also of Cerritos was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA…
Jim Harrington barred by FINRA. Jim Harrington, a registered representative from Livermore, CA formerly with State Farm VP Management of Bloomington, IL was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA…
Aaron Armstrong barred by FINRA. Aaron Armstrong, a registered representative from Stamford. CT, formerly with NY Life Securities, of New York, NY was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA…
Meyers Associates loses arbitration case. In June, 2016, a FINRA arbitration panel issued a $19,000 binding arbitration award against Meyers Associates and registered rep Colin Archer. The underlying matter involved allegations that Meyers Associates and Colin Archer breached their fiduciary duty, were negligent, engaged in unsuitable trading and churning, and…
Keith Bettex suspended. Keith Bettex, a registered representative from Apex, North Carolina formerly with Pruco Securities of Raleigh, NC was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to…
Finra suspends Dennis Van Patter. In January, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Dennis Van Patter of Little Elm, Texas, formerly registered with VSR Financial Services of Plano, TX submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in…