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Articles Posted in Barred

After former registered representative Mike Carter (CRD#: 3232017) twice refused to furnish requested documents relating to theft allegations, FINRA barred him from the securities industry, according to Mike Carter’s BrokerCheck report accessed on September 16, 2019. He entered into an Acceptance, Waiver, and Consent (AWC) consenting to the sanctions. Leading up to the bar, FINRA […]

FINRA, the Financial Industry Regulatory Authority (FINRA), has barred Jack Stone (CRD#: 437327), formerly a registered representative with Forest Securities, from the securities industry. According to his BrokerCheck record accessed on September 17, 2019, he entered into an Acceptance, Waiver, and Consent (AWC) consenting to the entry of findings that he “he refused to appear […]

FINRA, the Financial Industry Regulatory Authority, has barred Paul Pitsironis (CRD#: 2804907), from the securities industry for allegedly stealing from a customer, according to his BrokerCheck report accessed on September 12, 2019. All three of the disclosures on Paul Pitsironis’s BrokerCheck record stem from the allegation that he stole $411,000 from a client’s account while […]

On June 11, 2019, Nicolas Barrios (CRD#: 2122824) entered into an Acceptance, Waiver & Consent (AWC)  with FINRA, the Financial Industry Regulatory Authority, in which he consented to FINRA’s decision to permanently bar him from the securities industry. According to his BrokerCheck accessed on August 2, 2019, “Without admitting or denying the findings, Barrios consented […]

Michael Mackay (CRD#: 2279775), who was the subject of a prior blog post in February, has been permanently barred from the securities industry, according to his BrokerCheck report accessed July 23, 2019. Michael Mackay’s 22-year career in the securities industry spanned seven firms. So what happened? On March 26, 2019, Ohio-based broker Michael Mackay became […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former California-based US Bancorp Investments broker/adviser John Wade has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that former Illinois-based National Securities Corporation broker Rick Konecny, who has received several resolved or pending customer disputes, has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. […]

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