{"id":8887,"date":"2020-03-31T09:22:17","date_gmt":"2020-03-31T13:22:17","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8887"},"modified":"2020-03-31T09:24:28","modified_gmt":"2020-03-31T13:24:28","slug":"finra-disciplinary-actions-for-march-2020-names-individuals-barred-for-failure-to-provide-information","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-disciplinary-actions-for-march-2020-names-individuals-barred-for-failure-to-provide-information\/","title":{"rendered":"FINRA Disciplinary Actions For March 2020 Names Registered Individuals Barred For Failure To Provide Information"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Michael Bressman<\/td>\n\u00a0 FCG Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Mary Ann Dineen<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 David Fagenson<\/td>\n\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Mark Figueroa<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Arive Capital Markets<\/td>\n<\/tr>\n
\u00a0 Karen Kopatz<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Jordan Rodriguez<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Frederick Stow<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Mark Wetherell<\/td>\n\u00a0 Kovack Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Marcus Wright<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for March 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 \u00a0 Michael Bressman \u00a0 FCG Advisors, LLC \u00a0 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-8887","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Disciplinary Actions For March 2020 Names Individuals Barred<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2020, the following individuals were barred from FINRA for failing to provide 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