Securities Fraud Lawyer Blog

April 22, 2016

Sean Portnoy Plano, TX Broker Barred by FINRA

Sean Portnoy, a Plano, TX registered representative formerly with Nobles and Richards of Dallas, was suspended from FINRA membership for violations of Rule 9552. Portnoy has been involved in the oil and gas business.

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 22, 2016

Bernard Parker former Edward Jones Broker Barred

by David Liebrader

Bernard Parker, of Indiana, Pennsylvania a registered representative formerly with Edward Jones 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 testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 22, 2016

Rogelio Guevara Suspended by FINRA

by David Liebrader

Rogelio Guevara, of El Paso, Texas, a registered representative formerly with Northwestern Mutual Investment Services of El Paso 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 testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 22, 2016

Larry Goldston Suspended by FINRA

by David Liebrader

Larry Goldston, of Lubbock, Texas, a registered representative formerly with Caprock Securities of Lubbock, Texas 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 testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 22, 2016

Thomas Buono Suspended by FINRA

by David Liebrader

Thomas Buono, of Valley Cottage, NY, a registered representative formerly with Park Avenue 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 fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 22, 2016

Ricardo Broome Suspended by FINRA

by David Liebrader

Ricardo Broome, of Brooklyn New York, a registered representative formerly with Chelsea Financial Services in Staten Island, 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 fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 22, 2016

Keith Bettex Suspended by FINRA

by David Liebrader

Keith Bettex, of Apex, North Carolina, a registered representative formerly with Pruco Securities of Raleigh, NC 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 testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 22, 2016

Tom Andrews, LPL Broker from Utah, Suspended by FINRA

by David Liebrader

Tom Andrews, of Holladay, Utah, and a registered representative formerly with LPL Financial out of Salt Lake City 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 testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 22, 2016

Darnell Deans Suspended from FINRA Membership

by David Liebrader

Darnell Deans, of Jersey City, NJ, and a registered representative formerly with Blackbook Capital and John Carris 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 fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 20, 2016

Mark Holt Suspended by FINRA

by David Liebrader

Mark Holt, a registered representative formerly with Harbor Investments of North Oaks, Minnesota was suspended from FINRA membership for violations of Rule 9554. Holt is also known as Mark Holthusen

FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution

This FINRA rule provides that a registered representative or a firm that fails to comply with a FINRA arbitration award or a settlement agreement entered into as a result of a FINRA arbitration or mediation proceeding, shall have their license suspended 21 days after notice of the intent to suspend has been sent. In April, 2016 Mark Holt was suspended from FINRA membership for violating Rule 9554.