Karen Kane (aka Karen Knote), a registered representative from Carmel, IN formerly with Money Concepts Capital 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 for Restitution The…
Rodney Cochran, of Grand Prarie, TX, a registered representative formerly with Mutual of Omaha Investor Services 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 for Restitution The…
Robert Chan, of Yorba Linda, CA, a registered representative formerly with U.S. Bancorp and Western International Securities 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 for Restitution…
Randy Bostick, of Jupiter, FL, a registered representative formerly with Janney Montgomery Scott 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 for Restitution The rule provides that…
Dmitry Borochin, of Brooklyn, NY, a registered representative formerly with Wells Fargo Advisors 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 for Restitution The rule provides that…
Natalia Pesin, of Staten Island, NY, a registered representative formerly with Pruco Securities 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 provide information or testimony requested or…
Calvin Moores, of Brea, CA, a registered representative formerly with Independant Financial Group 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 provide information or testimony requested or…
Quyen Loong, of Rosemead, CA, a registered representative formerly with Aaron Capital 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 provide information or testimony requested or required…
Jose Huerta, a registered representative formerly with Wells Fargo Advisors in Salt Lake City, UT 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 provide information or testimony…
James Brennan, a registered representative formerly with T.R. Winston and Company in Los Angeles and San Marino, 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 if a FINRA member fails to provide…