Bernard Parker, of Indiana, Pennsylvania a registered representative formerly with 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 fails to provide information or testimony requested or required…
Rogelio Guevara, of El Paso, Texas, a registered representative formerly with Northwestern Mutual Investment Services of El Paso 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…
Larry Goldston, of Lubbock, Texas, a registered representative formerly with Caprock Securities of Lubbock, Texas 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…
Thomas Buono, of Valley Cottage, NY, a registered representative formerly with Park Avenue 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…
Ricardo Broome, of Brooklyn New York, a registered representative formerly with Chelsea Financial Services in Staten Island, 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 member fails to provide…
Keith Bettex, of Apex, North Carolina, a registered representative formerly with Pruco Securities of Raleigh, NC 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…
Tom Andrews, of Holladay, Utah, and a registered representative formerly with LPL Financial out of Salt Lake City 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…
Darnell Deans, of Jersey City, NJ, and a registered representative formerly with Blackbook Capital and John Carris Investments 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…
Mark Holt, a registered representative formerly with Harbor Investments of North Oaks, Minnesota was suspended from FINRA membership for violations of Rule 9554. Holt is also known as Mark Holthusen FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement…
Jerrid Douglas, a registered representative formerly with Barclay’s Capital of 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 This FINRA rule provides…