Chris Cervino was barred by FINRA and the SEC over VGTL transactions Chris Cervino, a registered representative from Franklin Lakes, New Jersey, formerly with Primary Capital, Cor Clearing and Wilson-Davis Co. was barred from FINRA membership as a result of SEC proceedings into his role in manipulating the market for…
FINRA suspended and barred rep Brian Kennison. Brian Kennison, a registered representative from Portland, Oregon, formerly with U.S. Bancorp Investments was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. In July, 2016 he was discharged from US Bancorp based on allegations that he…
Troy Baldridge was suspended and barred by FINRA Troy Baldridge, a registered representative from Richmond, Virginia, formerly with Capital Securities Management and Capital Securities & Associates was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. In August, 2016 he was discharged from the…
FINRA suspends, bars Cheryl Lynn Wallace. Cheryl Lynn Wallace, a registered representative from Henderson, Nevada, formerly with Ameriprise Financial and Edward Jones was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. Wallace was discharged from Ameriprise after allegations that she failed to follow…
FINRA suspends, bars Donald Toomer Donald Toomer, a registered representative from Henderson, Nevada, formerly with Wells Fargo Advisors was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. Toomer had previously been charged by the SEC with enagaging in securities fraud. The allegations pertain…
John Ezmat was suspended then barred by FINRA John Ezmat, a registered representative from Oakland, New Jersey, formerly with AXA Advisors in Verona, NJ was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. He was later barred by the organization. FINRA Rule 9552.…
Charles DeNormandie, a registered representative from Alpharetta, Georgia formerly with Commonwealth Financial Network and Ameriprise Financial Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a…
Sandra Canaba, a registered representative from Santa Teresa, New Mexico formerly with LPL Financial and Chase Investment Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if…
Amanda Burnett, a registered representative from Decatur, Georgia formerly with Invest Financial Corporation was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to…
Lionel Brooks, a registered representative from Cumberland, Rhode Island formerly with Merrill Lynch was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to…