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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 […]

Fred Brown (CRD#: 1175385), a 32-year veteran of the securities industry whose career spans 9 firms, has been suspended by FINRA, the Financial Industry Regulatory Authority. Based in Alabama, Brown was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691). According to his BrokerCheck report, accessed on July 25, 2019, “Without […]

Publicly available records published by the Financial Industry Regulatory Authority and accessed on December 6, 2018 indicate that FINRA reported more than 15 brokers and/or investment advisers in November as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions […]

More than a dozen brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms in April 2018, per FINRA’s list of disciplinary actions issued this month. The financial professionals listed below below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions; they have […]

The 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 […]

According to the Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in November 2017, the regulatory authority reported the suspensions of more than three dozen brokers and/or investment advisers in that month. The following individuals have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these suspensions without admitting or denying […]

The Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in November 2017 includes eighteen brokers and/or investment advisers who were reported as barred from affiliating with FINRA member firms in all capacities. The following individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying […]

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in July, more than a dozen registered representatives were reported in that month as barred from associating with FINRA firms. The following representatives have signed Letters of Acceptance Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying the […]

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in August, more than 30 brokers and/or investment advisers were suspended in that month 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 […]

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in August, more than 15 brokers and/or investment advisers were barred in that month 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 […]

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