Sandra Canaba, a registered representative from Santa Teresa, New Mexico formerly with LPL Financial and Chase Investment 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…
Amanda Burnett, a registered representative from Decatur, Georgia formerly with Invest Financial Corporation 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 to…
Lionel Brooks, a registered representative from Cumberland, Rhode Island formerly with Merrill Lynch 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 to…
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…
Ryan Miguel, Infinity Fuels hit with cease and desist order in Arizona. On April 11, 2017 the Corporation Commissioner for the state of Arizona, acting through the Securities Division issued a cease and desist order against Ryan Miguel, a former registered representative with Merrill Lynch for violations of the Securities…
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…