John Boals, a registered representative from Thompson, Ohio formerly with All State Financial Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
Jared Artho, a registered representative from College Station, Texas formerly with JP Morgan Securities was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
Frank Scarso, a registered representative from Staten Island, NY, formerly with First Standard Financial, PHX Financial, Alexander Capital, Clark Dodge & Company and others was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information…
Sherman Greer, a registered representative from Locust, North Carolina, formerly with LPL Financial and Uvest Financial Services and others was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims resulting from a discharge where he refused to respond to requests from his…
Chris Calandrino, a registered representative from Lake Ronkonkoma, NY, formerly with Joseph Stone Capital, Cape Securities, National Securities Corporation, and others was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims that he engaged in outside business activities. FINRA Rule 9552. Failure…
Roberto Bastardo, a registered representative from Jupiter, Florida, formerly with Wells Fargo Advisors was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims that he misappropriated funds from a client account. FINRA Rule 9552. Failure to Provide Information or Keep Information Current…
Robert Turpin, a registered representative from Arizona, formerly with Source Capital Group was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims that he engaged in outside business activities with his member firm. FINRA Rule 9552. Failure to Provide Information or Keep…
Kyle Kurtz, a registered representative from Bay City, Michigan, formerly with Thrivent Investment Management 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…
Joe Don Treece, a registered representative from Rogers, Arkansas, formerly with Arvest Wealth Management and Raymond James 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…
Richard Raff, a registered representative from Brandon, Mississippi, formerly with Infinex 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 fails to provide information or testimony requested or required…