FINRA Membership Suspended

May 14, 2017

FINRA Bars John Boals

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 to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

May 11, 2017

Jared Artho Barred by FINRA

by David Liebrader

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 to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

May 11, 2017

FINRA Bars Broker Frank Scarso

by David Liebrader

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 Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

May 10, 2017

FINRA Bars North Carolina Broker Sherman Greer

by David Liebrader

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 compliance department.

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 by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

May 10, 2017

Chris Calandrino Barred by FINRA

by David Liebrader

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 to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

May 10, 2017

FINRA Bars Roberto Bastardo

by David Liebrader

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

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 24, 2017

Robert Turpin Barred by FINRA

by David Liebrader

Robert Turpin, a registered representative from Arizona, formerly with Source Capital Group 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 with his member firm.

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 by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 24, 2017

Kyle Kurtz Suspended, Barred by FINRA

by David Liebrader

Kyle Kurtz, a registered representative from Bay City, Michigan, formerly with Thrivent Investment Management 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 by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 24, 2017

FINRA Suspends, Bars Joe Don Treece

by David Liebrader

Joe Don Treece, a registered representative from Rogers, Arkansas, formerly with Arvest Wealth Management and Raymond James 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 by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 24, 2017

FINRA Suspends, Bars Richard Raff

by David Liebrader

Richard Raff, a registered representative from Brandon, Mississippi, formerly with Infinex 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 information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.