Securities Fraud Lawyer BlogLance 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
Feltl Broker Lance Ziesemer Suspended by FINRA
Articles Posted in FINRA Membership Suspended
Cheryl Wallace Suspended by FINRA
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
Melba Talbot Suspended by FINRA
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
FINRA Suspends Chip Pledger
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
FINRA Suspends Alfonso Papa
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 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.
Shaun Nagle Barred by FINRA
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
Mark Holt Suspended by FINRA
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 Providing for Restitution
This FINRA rule provides that a registered representative or a firm that fails to comply with a FINRA arbitration award or a settlement agreement entered into as a result of a FINRA arbitration or mediation proceeding, shall have their license suspended 21 days after notice of the intent to suspend has been sent. In April, 2016 Mark Holt was suspended from FINRA membership for violating Rule 9554.
Jerrid Douglas Suspended by FINRA
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 that a registered representative or a firm that fails to comply with a FINRA arbitration award or a settlement agreement entered into as a result of a FINRA arbitration or mediation proceeding, shall have their license suspended 21 days after notice of the intent to suspend has been sent. In April, 2016 Jerrid Douglas was suspended from FINRA membership for violating Rule 9554.
Robin Wolfgram formerly with Cetera Advisors suspended by FINRA
Robin Wolfgram, a registered representative formerly with Cetera Advisors in Campbell, CA was suspended from FINRA membership for violations of Rule 9552
FINRA Rule 9552. Failure to Provide Information or Keep Information Current
provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to provide any information, report, material, data, or testimony requested or required to be filed pursuant to the FINRA By-Laws or FINRA rules, or fails to keep its membership application or supporting documents current, FINRA staff may provide written notice to such member or person specifying the nature of the failure and stating that the failure to take corrective action within 21 days after service of the notice will result in suspension of membership or of association of the person with any member. In January, 2016 Robin Wolfgram was suspended from FINRA membership for violating Rule 9552.
Teule Williams formerly with J.P. Morgan suspended by FINRA
Teule Williams, a registered representative formerly with J.P. Morgan Securities in Peachtree City, GA was suspended from FINRA membership for violations of Rule 9552
FINRA Rule 9552. Failure to Provide Information or Keep Information Current
provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to provide any information, report, material, data, or testimony requested or required to be filed pursuant to the FINRA By-Laws or FINRA rules, or fails to keep its membership application or supporting documents current, FINRA staff may provide written notice to such member or person specifying the nature of the failure and stating that the failure to take corrective action within 21 days after service of the notice will result in suspension of membership or of association of the person with any member. In January, 2016 Teule Williams was suspended from FINRA membership for violating Rule 9552.