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Broker records
2,290 records on file, newest first
/CRD 6216202 /Oregon
James Brennan Brown Barred by FINRA Under Rule 9552(h) for Failure to Provide or Keep Information Current
Barred under FINRA Rule 9552(h) for failure to provide information or keep information current
/CRD 2508442 /Virginia
Chun Suk Elmejjad Barred by FINRA Under Rule 9552(h) for Failure to Provide or Keep Information Current
Barred under FINRA Rule 9552(h) for failure to provide information or keep information current
/CRD 7513112 /Arizona
Sylviah Kemunto Barred by FINRA Under Rule 9552(h) for Failure to Provide or Keep Information Current
Barred under FINRA Rule 9552(h) for failure to provide information or keep information current
/CRD 5992305 /Florida
Jonathan Mendall Long Barred by FINRA Under Rule 9552(h) for Failure to Provide or Keep Information Current
Barred under FINRA Rule 9552(h) for failure to provide information or keep information current
/CRD 4296010 /Virginia
Thomas James Prieur Barred by FINRA Under Rule 9552(h) for Failure to Provide or Keep Information Current
Barred under FINRA Rule 9552(h) for failure to provide information or keep information current
/CRD 6749599 /New York
Carlos Ramirez Barred by FINRA Under Rule 9552(h) for Failure to Provide or Keep Information Current
Barred under FINRA Rule 9552(h) for failure to provide information or keep information current
/CRD 7085052 /New York
Shaquane Smith-Thompson Barred by FINRA Under Rule 9552(h) for Failure to Provide or Keep Information Current
Barred under FINRA Rule 9552(h) for failure to provide information or keep information current
/CRD 6760158 /Virginia
Shoaib Qureshi Suspended by FINRA Under Rule 9552(d) for Failure to Provide or Keep Information Current
Suspended under FINRA Rule 9552(d) for failure to provide information or keep information current
/CRD 7149770 /New York
Annie Simons Suspended by FINRA Under Rule 9552(d) for Failure to Provide or Keep Information Current
Suspended under FINRA Rule 9552(d) for failure to provide information or keep information current
/CRD 4047511 /Florida
Gerald John Cocuzzo Suspended by FINRA Under Rule 9554 for Failure to Comply with Arbitration Award
Suspended under FINRA Rule 9554 for failure to comply with arbitration award
/CRD 4267482 /Florida
Kevin Andrew Hobbs Suspended by FINRA Under Rule 9554 for Failure to Comply with Arbitration Award
Suspended under FINRA Rule 9554 for failure to comply with arbitration award
/CRD 6571291 /Indiana
James R. Myers Suspended by FINRA Under Rule 9554 for Failure to Comply with Arbitration Award
Suspended under FINRA Rule 9554 for failure to comply with arbitration award