Toby Blackwood, a registered representative formerly with PFS Investments in Oklahoma 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 provide…
Keith Bettex, a registered representative formerly with Pruco Securities in Raleigh, NC 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…
Tatyana Andreyeva, a registered representative formerly with Wetspark Capital, Fordham Financial and John Carris Investments 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 provides that…
Gene Smietana, a registered representative formerly with LPL Financial in Traverse City, MI 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…
Andreas Kentrotas, a registered representative formerly with Morgan Stanley in Manhasset, NY 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…
In November, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Matt Schomburg of Houston, Texas and formerly associated with State Frm VP Management submitted a letter of Acceptance, Waiver and Consent in which he was assessed a deferred fine of $15,000 and suspended from association with any…
Eddie Sitton, a registered representative formerly with several broker dealers in Scottdale and Tempe 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 provides that a…
Tiffany Peacock Asakawa, a registered representative formerly with Merrill Lynch in Kailua Kona, HI 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 provides that a…
Aviv Hen, a registered representative formerly with Obsidian Financial Group in Woodbury, 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 provides that a registered…
Stephen DeGroat, a registered representative formerly with Matrix Capital in 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 provides that a registered…