Finra bars Xavier Endress. In January, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Xavier Endress of Bloomfield Hills, MI, formerly registered with Merrill Lynch of Bloomfield Hills, MI submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in any capacity..…
Finra bars Mark Ciriaco. In January, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Mark Ciriaco of Omaha, NE, formerly registered with Securian Financial Services of Omaha, NE submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in any capacity.. The…
Finra bars Zachary Bader. In January, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Zachary Bader of West Babylon, NY formerly with National Securities Corp. and Craig Scott Capital submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in any capacity.…
Finra fines Feltl and Company. In January, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Feltl and Company of Minneapolis, MN submitted an acceptance, waiver and consent letter regarding its failure to supervise its registered representatives in their trading of companies on the firm’s “watch list.” In agreeing to…
Finra suspends Tom Labeau. Tom Labeau, a registered representative from Canton, MI, formerly with Kalos Capital of Livonia, MI was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing…
Tatyana Andreyeva suspended by FINRA. Tatyana Andreyeva, a registered representative from Brooklyn, NY, formerly with John Carris Investments of Hoboken, NJ was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or…
Gene Smietana barred by FINRA. Gene Smietana, a registered representative from Traverse City, MI formerly with LPL Financial, also of Traverse City 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…
Brett McCullough barred by FINRA. Brett McCullough, a registered representative from Baton Rouge, LA formerly with Hancock Investment Services of Baton Rouge 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…
MML borker Tony Jung barred. Tony Jung, a registered representative from Fort Lee, NJ formerly with MML Investors Services of Springfield, MA 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…
Adam Carrol suspended. Adam Carrol, a registered representative from Oswego, IL formerly with MetLife Securities of Downer’s Grove, 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 member fails to…