Lance Ziesemer suspended by FINRA Lance Ziesemer , a registered representative from Waconia, Minnesota formerly with Feltl and Company 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…
Cheryl Wallace suspended by FINRA Cheryl Wallace , a registered representative from Henderson, Nevada, formerly with Ameriprise Financial and Edward Jones 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…
Melba Talbot suspended by FINRA Melba Talbot , a registered representative from Crossville, TN, formerly with Lifemark Securities and LPL Financial 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 suspends Chip Pledger Chip Pledger , a registered representative from Athens, Georgia a registered representative formerly with StateFarm VP Management of Bloomington, IL 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…
Alfonso Papa , a registered representative from Allentown, Pennsylvania a registered representative formerly with Merrill Lynch 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…
Shaun Nagle barred by FINRA Shaun Nagle , a registered representative from Pawcatuck, CT a registered representative formerly with Comprehensive Asset Management and Servicing 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…
Mark Holt, a registered representative formerly with Harbor Investments of North Oaks, Minnesota was suspended from FINRA membership for violations of Rule 9554. Holt is also known as Mark Holthusen FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement…
Jerrid Douglas, a registered representative formerly with Barclay’s Capital of New York, NY 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 This FINRA rule provides…
Robin Wolfgram, a registered representative formerly with Cetera Advisors in Campbell, CA was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
Teule Williams, a registered representative formerly with J.P. Morgan Securities in Peachtree City, GA was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction…