According to FINRA Disciplinary actions for April 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
Articles Posted in FINRA Disciplinary Actions
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement April, 2024
According to FINRA Disciplinary actions for April 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Kwame Adusei Morgan Stanley J.P. Morgan Securities LLC Kevin Arvoy D.A. Davidson & Co. Raymond James…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information April 2024
According to FINRA Disciplinary actions for April 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Vinessa Christian UBS…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2024
According to FINRA Disciplinary actions for March 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Gabriela Alfaro Charles…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement March, 2024
According to FINRA Disciplinary actions for March 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Timothy Breslin B. Riley Wealth Management Raymond James & Associates, Inc. Robin Johnson aka Robin Runco…
FINRA Bars Broker John Kersey After Mishandling Customer Funds
John Kersey (John Jay Kersey CRD# 1480524) is a former broker and investment advisor last employed with Northwestern Mutual Investment Services, LLC (CRD# 2881) of Cincinnati, OH. His previous employers include Northwestern Mutual Investment Services, LLC (CRD# 2881) of Milwaukee, WI, Walnut Street Securities, Inc. (CRD# 15840) of El Segundo,…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement January, 2024
According to FINRA Disciplinary actions for January 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Scott Reed First Financial Equity Corporation Wells Fargo Clearing Services, LLC Brokers and…
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information January 2024
According to FINRA Disciplinary actions for January 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Jack McBride…
FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2024
According to FINRA Disciplinary actions for January 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
Broker Michael Digioia Suspended After Failing To Pay Judgment
Michael Digioia (Michael Joseph Digioia CRD# 4073951, aka Michael Joseph Di Gioia, Michael Di Gioia, Mike Joseph Di Gioia, Mike Ross) is a previously registered broker last employed with Lampost Capital, L.C. (CRD# 43706) of Boca Raton, FL. His previous employers include Arive Capital Markets (CRD# 8060) of Bay Ridge,…