In June 2019 FINRA Suspends Registered Individuals for Failures to Comply with FINRA Rules

According to FINRA Disciplinary actions for June 2019, 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
Andrews, Helen	Morgan Stanley
	Barclays Capital Inc
Andreyeva, Tatyana	Westpark Capital, Inc
	Fordham Financial Management, Inc
Basarian, Gary	Royal Alliance Associates, Inc
	Integrated Resources Equity Corp
Bowen, Heath	Allegis Investment Services, LLC
	Signator Financial Services, Inc
Cohen, Michael	Dinosaur Financial Group, LLC
	IFS Securities
Gendlek, Francis	IFS Securities
	TFS Securities, Inc
Hartnett, Richard	Morgan Stanley
	CIBC World Markets Corp
Kanoy, Anson	Raymond James & Assoc, Inc
	Wells Fargo Advisors, LLC
Miller, Eric	Scottsdale Capital Advisors Corp
	Rocky Mountain Securities & Investments, Inc
Murray, Stephen	Raymond James & Associates, Inc
	Morgan Keegan & Company, Inc
Ramcharran, Rameshwar	Ameriprise Financial Services, Inc
	Merrill Lynch, Pierce, Fenner & Smith Inc
Romer III, Ernest	Corecap Investments, Inc
	L.M. Kohn & Company
Rumayor, Juan	Farmers Financial Solutions, LLC
	HSBS Securities (USA) Inc
Salcedo, Alex	Scottrade, Inc
	Wells Fargo Clearing Services, LLC
Webb, James Jr.	Citigroup Global Markets Inc
	Merrill Lynch, Pierce, Fenner & Smith Inc

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