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FINRA Bars 15 Representatives In December 2017

DecemberThe Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in December 2017 includes fifteen brokers and/or investment advisers who were reported as barred from affiliating with FINRA member firms. The following representatives have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions without admitting or denying the alleged underlying conduct. Additional information about these actions is available on FINRA’s Disciplinary Actions webpage.

 

 

 

Name Current/Former Employers
Ronald Michael Dolinger MetLife Securities
Yue Zhu Starr Strategic Partners
Clement Lancelot Chichester Western International Securities
Brittney Jade Sias Western International Securities
Susan Jane Allen Principal Securities
Kenneth Bostian Neuner TCFG Wealth Management
Dartanian VJ Sanders PFS Investments
Steven John Meyer Chelsea Financial Services
Sam Peter Paolini Hornor Townsend & Kent
Robert Baldwin Del Guercio Herbert J. Sims & Company
Deborah E. Greenlee-Keck Coastal Equities
Rafael Enrique Febus Jr. JP Morgan Securities
Giovanni T. LoRusso John Hancock Funds
Jerry Lee Travers Jr. LPL Financial
John Robert Larson Ivy Distributors

 

 

 

 

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