FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2023
According to FINRA Disciplinary actions for May 2023, 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 |
Albert Foronda | Spartan Capital Securities, LLC |
Worden Capital Management LLC | |
Mark Miranda | Spartan Capital Securities, LLC |
Network 1 Financial Securities, Inc. | |
Yvonne Nguyen | NYLIFE Securities LLC |
Alexandra Smith | J.P. Morgan Securities, LLC |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
Kenneth Wade | Cetera Advisors Networks LLC |
PFS Investments Inc. |