Alex Battle, a registered representative formerly with Princor Financial Services of San Mateo and San Francisco, 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 information…
Stephen Anders, a registered representative formerly with Capital One of Potomac, Maryland 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…
Gordon Adamson, a registered representative formerly with Farmers Financial Solutions in Mooresville, Indiana 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…
Kayla Paul Lindsey, a registered representative formerly with Park Avenue Securities and MML Investors Services 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…
Kristal Johnson, a registered representative formerly with Fifth Third Securities in Hillsdale, Michigan was suspended from FINRA membership for violations of Rule 9552. Johnson is also known as Kristal Cole, Kristal Draper and Kristal Hammond. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides…
Kenneth Dlouhy, a registered representative formerly with Cantone Research in Tinton Falls, NJ 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…
Randy Alford, a registered representative formerly with Southeast Investments of Conway, South Carolina 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…
Steven Aguilar, a registered representative formerly with J.P. Morgan Securities of Denver, Colorado 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…
Paul Steffany Barred by FINRA and Connecticut; Arizona investigation Paul Steffany, a former registered representative with Raymond James and Associates of Wilton, CT was permanently barred by FINRA in October, 2015 as a result of a FINRA investigation into Steffany’s role in converting funds belonging to an estate client, and…
Robert Kerrigan, a former registered representative with First Financial Equity Corporation was permanently barred by FINRA for refusing to cooperate with FINRA in their investigation into Kerrigan’s sales of unregistered securities. Among the unregistered securities sold by Robert Kerrigan were shares in USA Barcelona and The Materials Acquisition Company or…