FINRA bars Lonnie Nguyen aka Luan Nguyen. Lonnie Nguyen, a registered representative from Irvine, California, formerly with Pruco Securities was barred from FINRA membership as a result of failing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides…
Quinn McClendon is barred by FINRA. Quinn McClendon, a registered representative from Philadelphia, PA, formerly with Citizens Securities, Mutual of Omaha Investors Services and Wells Fargo Advisors was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information…
FINRA bars Barry Jin of Fresh Meadows, NY Barry Jin, (aka Boqian Jin) a registered representative from Fresh Meadows, NY, formerly with Spartan Capital, Lampert Capital, PHX Financial and John Carris Securities was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule…
Broker Barry Connell charged by SEC, terminated from Morgan Stanley, Barred by FINRA The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Barry Connell, a FINRA registered representative from Chester New Jersey, previously affiliated with Morgan Stanley in Ridgewood…
Award against Network 1 Financial broker Shane Melito In May, 2017, a FINRA arbitrator sitting in Los Angeles, CA issued a $51,000 binding arbitration award against Shane Melito, a registered representative with Network 1 Financial Securities. The underlying matter involved allegations that Shane Melito made unsuitable investments and breached his…
CFP Board Disciplines Sharon Fall. In October, 2016 the Certified Financial Planner Board’s Commission of Discipline and Ethics announced the discipline of former LPL Financial, International Assets Advisory and Simplicity Wealth rep Sharon Fall by issuing a permanent bar and a prohibition against her using the CFP designation and certification. …
Richard Sampley suspended by FINRA. In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Richard Sampley of Atlanta, Georgia, a registered representative formerly with Raymond James, Morgan Keegan and UBS Financial submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member…
Pete Lappin suspended by FINRA In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Pete Lappin of Las Vegas, Nevada, a registered representative formerly with MetLife Securities, New England Securities and Wedbush Securities submitted an acceptance, waiver and consent letter whereby he was suspended from association with any…
Kenley Brisard barred by FINRA. In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Kenley Brisard of Weston, Florida, a registered representative formerly with Ridgeway & Conger and Gunn Allen Financial submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member…
Michael Babyak barred by FINRA In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Michael Babyak of Randolph, New Jersey, a registered representative formerly with Leigh Baldwin and LPL Financial submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in…