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FINRA Bars 12+ Representatives In May 2018

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Publicly available records published by FINRA and accessed on May 15, 2018 indicate that more than one dozen brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms this month. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions, without admitting to or denying the alleged conduct. Visit FINRA’s disciplinary actions homepage for more information.

 

Name Current/Former Employers
Ricardo Rodriguez-Stern JP Morgan Securities
David Lloyd Barber Madison Avenue Securities
Mark Kaplan Vanderbilt Securities
Jasper Eugene Boykin Jr. MetLife Securities
Stephen John Woods PHX Financial
Thomas Alan Meier Morgan Stanley
Gary John Basralian Royal Alliance Associates
Matthew Thomas Cochran Northwestern Mutual Investment Services
Michael Giokas Fortune Financial Services
Nicholas Ivo Goga Vanguard Marketing Corporation
Lawrence John Fawcett Jr. Westpark Capital
Cody Michael Rock State Farm VP Financial Services
Sanders Lane Spangler LPL Financial
Matthew Singer Morgan Stanley
David Warren Olson Morgan Stanley
Paul Eric Taboada Blackwall Capital Markets