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Articles Tagged with barred

August 2019 Disciplinary Actions When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full August 2019 report can be viewed here. […]

Bobby Coburn (CRD#: 1464789), formerly a registered representative with Securities America, Inc., has been barred from the securities industry, according to his BrokerCheck report accessed on September 17, 2019. Bobby Coburn entered into an Acceptance, Waiver, and Consent (AWC) in which he consented to the findings that he “refused to provide FINRA with requested information […]

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 […]

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 […]

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