FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2023
According to FINRA Disciplinary actions for October 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
NAME | FORMER EMPLOYERS |
David Burch | Raymond James & Associates, Inc. |
Morgan Stanley | |
Timothy Claypool | Northwestern Mutual Investment Services, LLC |
Farmers Financial Solutions, LLC | |
Ebony Parks | LPL Financial LLC |
Wells Fargo Clearing Services, LLC | |
Rashawn Russell | Deutsche Bank Securities Inc. |
Daniel Santos | PFS Investments Inc. |