FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement April 2023
According to FINRA Disciplinary actions for April 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
NAME | FORMER EMPLOYERS |
Christine Bourdelais | NYLife Securities LLC |
Thomas Buck | RBC Capital Markets, LLC |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
Narongdej Jaroensabphayanont | Voya Financial Advisors, Inc. |
Intersecurities, Inc. | |
Richard Logalbo | Cetera Investment Services LLC |
MML Investors Services, LLC | |
Harold Ramsey | Paulson Investment Company LLC |
Spartan Capital Securities, LLC | |
Michael Rosalia | SW Financial |
Worden Capital Management LLC | |
Dana Vietor | CFD Investments, Inc. |
Oakbridge Financial Services | |
Jamie Worden | Worden Capital Management LLC |
Salomon Whitney LLC |