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FINRA Bars 30 Representatives

Barred

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in June, at least 30 brokers and/or investment advisers were reported in that month as barred from associating with FINRA firms. The following individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying the alleged underlying conduct. For more information about each sanction, visit FINRA’s disciplinary actions for June 2017. 

 

Name Former Employers
Barbara Jean Abadi ACGM, Activa Capital Markets
Carlos Andres Abadi ACGM
Jetmir Ahmeti Edward Jones, AXA Advisors
Hossein Amirriahei Wells Fargo Advisors, Prudential Securities
Ronald Dale Broadstone UBS Financial Services, McDonald Investments
Ann Marie Comcowich Prudential Investment Management
Joseph George Daher II Amherst Pierpont, Jefferies
Fernando de la Lama Merino EFG Capital International, Prudential Securities
Lloyd Henry Dotson Commonwealth Financial Network, Merrill Lynch
Aileen Eppig International Assets Advisory, Stifel Nicolaus & Company, Wells Fargo Advisors
Ahmed Abdelmawla Gadelkareem Newport Coast Securities, Fordham Financial Management
Jose Ramon Gonzalez American Trust Investment Services, National Securities Corporation
Clay Emerson Hoffman Summit Brokerage Services, SunTrust Investment Services
Andrew Bennett Kramer Capitol Securities Management, Northeast Securities
Richard William Lunn Martin GF Investment Services, Global Strategic Investments, LatAm Investments
Michael Jean-Paul Mason Edward Jones
Glenn McDowell Woodstock Financial Group, Olson Cross & Alamo, National Securities
Bernard G. McGee Independent Financial Group, Cadaret Grant & Company
Neal Charles Moon Waddell & Reed, Ameriprise Financial Services
David Leonard Sheppard Meyers Associates, Aegis Capital, Bishop Rosen & Company
Lakenya Leann Shiver State Farm VP Management Corporation
Scott Allen Sibley Moors & Cabot, Raymond James & Associates
Gregg D. Templeton Aegis Capital, FSC Securities, Oppenheimer & Company
Angelina Ozlem Todurge JP Morgan Securities, Morgan Stanley
Mylinh Nu Ton JP Morgan Securities
David Albert Tufts Jr. Oppenheimer & Company
Christopher William Wingader Merrill Lynch
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