Bingyi Hu suspended by FINRA. Bingyi Hu, a registered representative from Miami, FL formerly with National Securities Corp. of Seattle, WA 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…
Ben Halali suspended. Ben Halali, a registered representative from Morgan Hill, CA formerly with Allstate Financial and MML Investors Services, both of San Jose, CA 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…
Assan Faal suspended by FINRA. Assan Faal, a registered representative from Desplaines, Illinois formerly with Stifel Nicolaus and Sterne Agee 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…
Phillip Donnan barred by FINRA. Phillip Donnan, a registered representative from Easley, SC formerly with AXA Advisors of Piedmont, SC 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…
Matthew Cocco suspended by FINRA. Matthew Cocco, a registered representative from Jackson, NJ formerly with MetLife Securities, of Wall Township, NJ 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…
Mohamed Baksh Barred. Mohamed Baksh, a registered representative from Dumont, NJ formerly with PFS Investments of Rockaway, NJ and Duluth, GA 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 bars broker Virgil Santos. Virgil Santos, a registered representative from Cerritos, CA formerly with All State Financial Services, also of Cerritos 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…
Jim Harrington barred by FINRA. Jim Harrington, a registered representative from Livermore, CA formerly with State Farm 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 a FINRA…
Aaron Armstrong barred by FINRA. Aaron Armstrong, a registered representative from Stamford. CT, formerly with NY Life Securities, of New York, NY 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…
Allegis Investment Advisors’ risky options strategy causes losses. The Law Office of David Liebrader has opened an investigation into Allegis Investment Advisors’ program of placing investors’ funds into discretionary managed brokerage accounts that utilized a proprietary “options trading strategy.” The strategy consisted of simultaneously buying and selling “index options” based…