Securities Arbitration Lawyers BlogFINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2020
According to FINRA Disciplinary actions for July 2020, 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 |
| Joanna Abdelhadi | Wells Fargo Clearing Services, LLC |
| Credit Suisse Securities (USA) LLC | |
| Kenneth Butschek | ProEquities, Inc. |
| Securities Management & Research, Inc. | |
| Nathaniel Clay | Laidlaw & Company (UK) Ltd. |
| National Securities Corporation | |
| Paula Collins | TIAA-CREF Individual & Institutional Services, LLC |
| Oppenheimerfunds Distributor, Inc. | |
| Alan Lau | Wells Fargo Clearing Services, LLC |
| Wells Fargo Investments, LLC | |
| Stanley Martin | Allstate Financial Services, LLC |
| H&R Block Financial Advisors, Inc. | |
| Scott Mason | Voya Financial Advisors, Inc. |
| Western Wealth Management, LLC | |
| John Santariello | Arive Capital markets |
| Cape Securities Inc. | |
| Marc Winters | Wedbush Securities Inc. |
| UBS Financial Services Inc. |
The Securities and Exchange Commission (SEC) has charged former Morgan Stanley broker Michael Barry Carter with fraud for stealing from his customers, including an elderly client.
James McKinney is a barred broker who was last registered with Cetera Advisors in Tulsa, Oklahoma. McKinney’s record shows that in 2019 he was barred from associating with a FINRA member firm after he failed to comply with FINRA requests for information. Customer disputes on McKinney’s record allege misrepresentation, breach of fiduciary duty, and negligence. 
James Kennedy is a barred broker who last worked for Woodbury Financial Services, Inc. in Madison, Mississippi. Woodbury permitted Kennedy to resign for allegedly engaging in unapproved outside business activity with clients. He was barred by FINRA for failing to fully cooperate with their investigation.
Gerald Dewes is a barred broker last registered with Cadaret, Grant & Co. in East Amherst, NY. Dewes’ record shows that in March, 2020 he was indefinitely barred from associating with a FINRA member firm in all capacities for failing to cooperate with an investigation related to a selling away allegation. 
Imran Razvi is a former broker who was last registered with Lincoln Financial Securities Corporation in Frederick, Maryland. Razvi was suspended by FINRA in 2020 after he consented to an entry of findings that he engaged in outside business activity that his member firm did not approve of.
Felix Chu (Felix S Chu 
Paul Weiss is a currently suspended broker who was last registered with Mora WM Securities in Miami, Florida. Weiss was suspended by FINRA after findings that he allegedly engaged in undisclosed outside business activities. According to Paul Weiss’ record, he was involved with West Hills Real Estate Fund in Miami, Florida.
David Weisberg is a currently suspended broker who was last registered with Worden Capital Management LLC in New York, New York. Weisberg was suspended by FINRA for findings that he “engaged in excessive and unsuitable trading in the account of an elderly customer.”