Securities Fraud Lawyer Blog

June 6, 2016

Natalia Pesin Suspended by FINRA

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 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.

June 6, 2016

Calvin Moores Suspended By FINRA

by David Liebrader

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 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.

June 6, 2016

Quyen Loong Suspended By FINRA

by David Liebrader

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 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.

June 6, 2016

Jose Huerta Former Wells Fargo Broker Suspended by FINRA

by David Liebrader

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 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.

June 5, 2016

James Brennan of T.R. Winston Suspended by FINRA

by David Liebrader

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 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.

June 5, 2016

Alex Battle Formerly of Princor Financial Suspended by FINRA

by David Liebrader

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 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.

June 5, 2016

Stephen Anders Suspended by FINRA

by David Liebrader

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 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.

June 5, 2016

Gordon Adamson Suspended by FINRA

by David Liebrader

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 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.

June 5, 2016

Kayla Paul Lindsey Suspended by FINRA

by David Liebrader

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 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.

June 5, 2016

Kristal Johnson Suspended by FINRA

by David Liebrader

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 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.