FINRA bars Paul Dorion aka Pablo Dorion. Paul Dorion, a registered representative from Kilington Vermont, formerly with LPL Financial Services 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…
Ken Kolquist suspended by FINRA. Ken Kolquist, a registered representative from Duluth, MN, formerly with Cetera Advisor Network of Duluth 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…
Robert DePalo suspended by FINRA. Robert DePalo, a registered representative from Brookville, New York, formerly with McBarron Capital of Greenwich, CT 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…
Alina Brindusescu suspended (subsequently barred) by FINRA Alina Brindusescu, a registered representative from Los Angeles, CA formerly with U.S. Bancorp Investments of Los Angeles 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…
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…