Jose Carbajal, a registered representative formerly with Merrill Lynch in Los Angeles was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered representative…
Christopher Birli, a registered representative formerly with Metlife Securities in Williamsville, NY was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered representative…
Nicholas Bentivenga, a registered representative formerly with Woodstock Financial Group in Farmingdale, NY was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Jesse Holovacko, a registered representative formerly with Merrill Lynch in Edison, NJ was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
Gary Steciuk, a registered representative formerly with Capital Synergy Partners in Buffalo Grove, IL was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction…
On August 18, 2015 a FINRA Dispute Resolution, Inc. arbitration panel found against Jon Sanchez, a registered representative with Independent Financial Group of Reno, NV. FINRA Code of Arbitration Procedure section 12904 governs the issuance and payments of awards. Key provisions of the rule are that the award may be…
Ken Severinsen, a registered representative formerly with Rockwell Global Capital in Melville, NY was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails…
Engjell Pasha, a registered representative formerly with Newbridge Securities in Boca Raton, FL was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails…
Paul Posillico, a registered representative formerly with Aegis Capital Corp. of Melville, NY was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Gerald Coscia, a registered representative formerly with Ameriprise Financial in Lawrenceville, NJ was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered representative…