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…
Perry DeLeeuw barred by FINRA Perry DeLeeuw, a registered representative from Jacksonville, Texas a registered representative formerly with PFS Investments of Duluth, Georgia 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…
Fontaine Boutwell suspended by FINRA Fontaine Boutwell, a registered representative from Jacksonville, Florida a registered representative formerly with Allstate Financial Services also of Jacksonville 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…
Juan Alejos suspended by FINRA Juan Alejos, a registered representative from Elmsford, NY a registered representative formerly with Spartan Capital 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…
Kim Padgett barred by FINRA Kim Padgett, a registered representative from Belton, Missouri formerly with GWN Securities of Palm Beach Gardens, FL was barred 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…
Donald Lyons barred by FINRA Donald Lyons, a registered representative from Banning, CA formerly with Nativeone Institutional Trading of Leonardo, NJ was barred 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…
Elias Katsis barred by FINRA Elias Katsis, a registered representative from Rocky Point, NY formerly with Brookville Capital and Legend 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…
Christopher Cervino barred by FINRA Christopher Cervino, a registered representative from Franklin Lakes, NJ formerly with Primary Capital of NY, 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 member…
Francisco Camacho barred by FINRA Francisco Camacho, a registered representative from Cathedral City, CA formerly with J.P, Morgan Securities of Rancho Mirage, CA was barred 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…
Chris Ariola charged by FINRA. In a complaint filed by the FINRA Department of Enforcement in July, 2016 Chris Ariola of Santa Monica, CA, a former registered representative with Bay Mutual Financial and Financial Telesis was named as a Respondent in a complaint charging him with making unsuitable recommendations to…