Ken Miles, a registered representative formerly with Independent Financial Group in Redlands, CA 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…
BJ Guido, a registered representative formerly with Wells Fargo Advisors in Fairhope, AL 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…
John Galinsky, a registered representative formerly with National Securities in Lemont, Illinois 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 representative…
Lilin Hsu, a registered representative formerly with Ameriprise Financial in Diamond Bar, 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…
Richard Drown, a registered representative formerly with D.A. Davidson of West Covina, 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…
Donna Beers, a registered representative formerly with Private Consulting Group of Fountain Hills, AZ 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…
Ron Reuven, a registered representative formerly with Reuven Enterprises Securities 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…
Anthony Ottimo, a registered representative formerly with EKN Financial in Melville, 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 representative…
Matthew Ortman, a registered representative formerly with Ameriprise Financial in Jacksonville, FL 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 representative…
Britt Lachemann, a registered representative formerly with Merrill Lynch in Scottsdale, AZ 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 representative…