FINRA Bars More Than One Dozen Representatives In September 2018

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 20, 2018 indicated that more than one dozen brokers and/or investment advisers were reported as barred from association with broker-dealer firms in that month. The representatives, or former representatives enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s enforcement actions without admitting to or denying the underlying allegations of misconduct. Additional information concerning these enforcement actions is available at FINRA’s disciplinary actions homepage.