Kim Padgett barred by FINRA Kim Padgett, a registered representative from Belton, Missouri formerly with GWN Securities of Palm Beach Gardens, FL was barred 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…
Donald Lyons barred by FINRA Donald Lyons, a registered representative from Banning, CA formerly with Nativeone Institutional Trading of Leonardo, NJ was barred 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…
Elias Katsis barred by FINRA Elias Katsis, a registered representative from Rocky Point, NY formerly with Brookville Capital and Legend Securities 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…
Christopher Cervino barred by FINRA Christopher Cervino, a registered representative from Franklin Lakes, NJ formerly with Primary Capital of NY, 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 if a FINRA member…
Francisco Camacho barred by FINRA Francisco Camacho, a registered representative from Cathedral City, CA formerly with J.P, Morgan Securities of Rancho Mirage, CA was barred 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…
Chris Ariola charged by FINRA. In a complaint filed by the FINRA Department of Enforcement in July, 2016 Chris Ariola of Santa Monica, CA, a former registered representative with Bay Mutual Financial and Financial Telesis was named as a Respondent in a complaint charging him with making unsuitable recommendations to…
Adam Estes suspended by FINRA In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Adam Estes of Bloomington, Indiana, a registered representative formerly with JJB Hilliard submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in any capacity for fifteen…
Jonathan Casiano barred by FINRA In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Jonathan Casiano of Mansfield, Texas, a registered representative formerly with J.P. Morgan Securities of Arlington, Texas submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in…
FINRA suspends Thomas Brenner over private securities transactions. In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Thomas Brenner of Orrville, Ohio, a registered representative formerly with First American Securities submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in…
FINRA suspends former LPL broker Michael Barranco In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Michael Barranco of Montgomery, Alabama, a registered representative formerly with LPL Financial submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in any capacity…