FINRA bars David Seigerman. David Seigerman, a registered representative from Morristown, NJ, formerly with Janney Montgomery Scott and Morgan Stanley 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…
FINRA bars James Ignatowich James Ignatowich, a registered representative from Delray Beach, FL, formerly with Newbridge Securities and Investor’s capital Corp. 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 Paul Dorion aka Pablo Dorion. Paul Dorion, a registered representative from Kilington Vermont, formerly with LPL Financial 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…
Ken Kolquist suspended by FINRA. Ken Kolquist, a registered representative from Duluth, MN, formerly with Cetera Advisor Network of Duluth 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…
Robert DePalo suspended by FINRA. Robert DePalo, a registered representative from Brookville, New York, formerly with McBarron Capital of Greenwich, CT 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…
Alina Brindusescu suspended (subsequently barred) by FINRA Alina Brindusescu, a registered representative from Los Angeles, CA formerly with U.S. Bancorp Investments of Los Angeles 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…
Rhonda Matthews barred by FINRA Rhonda Matthews , a registered representative from Wimberley, Texas a registered representative formerly with Prospera Financial Services and wells Fargo Advisors was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule…
Justin Krutsinger suspended by FINRA Justin Krutsinger , a registered representative from Westminster, Colorado a registered representative formerly with PFS Investments 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…
Bryon Glime suspended by FINRA Bryon Glime , a registered representative from Federalsburg, Maryland a registered representative formerly with Capital Investment 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…
Dean Friedman barred by FINRA Dean Friedman , a registered representative from Roslyn estates, NY a registered representative formerly with Syndicated 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…