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Articles Tagged with barred

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 […]

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 […]

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 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 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that former New Jersey-based National Securities broker Saimir Collaku has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 30, 2016 indicate that former New York-based Merrill Lynch broker Kenneth Daley has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Daley (CRD# […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 29, 2016 indicate that former Washington-based Independent Financial Group broker Gary Arford has been permanently barred from acting as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 24, 2016 indicate that former Utah-based Cetera Advisors broker Clark Gardner has been permanently barred from acting as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 23, 2016 indicate that former Pennsylvania-based First Allied Securities broker Theodore Rothman has been permanently barred from “engaging in certain activities.” The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rothman (CRD# […]

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