FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December 2022
According to FINRA Disciplinary actions for December 2022, 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 |
Christ Baltas | Worden Capital Management LLC |
Wilmington Capital Securities, LLC | |
Matthew Beaver | Grit Wealth Management, LLC |
Ameriprise Financial Services, Inc. | |
Seymour Cohen | Wilmington Capital Securities, LLC |
Clark Dodge & Co., Inc. | |
James Kirschner | Cetera Advisors LLC |
Ameriprise Financial Services, Inc. | |
Justin Iowe | Broadview International LLC |
Keith Wakefield | IFS Securities |
IFS Capital Markets, LLC | |
Jamie Worden | Worden Capital Management LLC |
Salomon Whitney LLC |