Natalia Pesin, of Staten Island, NY, a registered representative formerly with Pruco Securities 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 testimony requested or…
Calvin Moores, of Brea, CA, a registered representative formerly with Independant Financial Group 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 testimony requested or…
Quyen Loong, of Rosemead, CA, a registered representative formerly with Aaron Capital 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 testimony requested or required…
Jose Huerta, a registered representative formerly with Wells Fargo Advisors in Salt Lake City, UT 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 testimony…
James Brennan, a registered representative formerly with T.R. Winston and Company in Los Angeles and San Marino, 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 if a FINRA member fails to provide…
Alex Battle, a registered representative formerly with Princor Financial Services of San Mateo and San Francisco, 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 if a FINRA member fails to provide information…
Stephen Anders, a registered representative formerly with Capital One of Potomac, Maryland 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 testimony requested or required…
Gordon Adamson, a registered representative formerly with Farmers Financial Solutions in Mooresville, Indiana 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 testimony requested or…
Kayla Paul Lindsey, a registered representative formerly with Park Avenue Securities and MML Investors 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 to provide information or testimony…
Kristal Johnson, a registered representative formerly with Fifth Third Securities in Hillsdale, Michigan was suspended from FINRA membership for violations of Rule 9552. Johnson is also known as Kristal Cole, Kristal Draper and Kristal Hammond. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides…