FINRA suspends Chip Pledger Chip Pledger , a registered representative from Athens, Georgia a registered representative formerly with StateFarm VP Management of Bloomington, IL was suspended from FINRA membership for violations of Rule 9552. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if…
Alfonso Papa , a registered representative from Allentown, Pennsylvania a registered representative formerly with Merrill Lynch was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information or…
Shaun Nagle barred by FINRA Shaun Nagle , a registered representative from Pawcatuck, CT a registered representative formerly with Comprehensive Asset Management and Servicing was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if…
Rhonda Matthews barred by FINRA Rhonda Matthews , a registered representative from Wimberley, Texas a registered representative formerly with Prospera Financial Services and wells Fargo Advisors was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule…
Justin Krutsinger suspended by FINRA Justin Krutsinger , a registered representative from Westminster, Colorado a registered representative formerly with PFS Investments was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member…
Bryon Glime suspended by FINRA Bryon Glime , a registered representative from Federalsburg, Maryland a registered representative formerly with Capital Investment Group was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA…
Dean Friedman barred by FINRA Dean Friedman , a registered representative from Roslyn estates, NY a registered representative formerly with Syndicated Capital was suspended from FINRA membership for violations of Rule 9552. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA…
Perry DeLeeuw barred by FINRA Perry DeLeeuw, a registered representative from Jacksonville, Texas a registered representative formerly with PFS Investments of Duluth, Georgia was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a…
Fontaine Boutwell suspended by FINRA Fontaine Boutwell, a registered representative from Jacksonville, Florida a registered representative formerly with Allstate Financial Services also of Jacksonville was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if…
Juan Alejos suspended by FINRA Juan Alejos, a registered representative from Elmsford, NY a registered representative formerly with Spartan Capital Securities of New York, NY was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides…