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.
Name | Current/Former Employers |
Abraham Biderman | Palladium Capital Advisors |
Bradley Joseph Tennison | Geneos Wealth Management |
Robert Joseph Flanagan | Pruco Securities |
Mitchell Toby Yanow | Stifel Nicolaus & Company |
Paul Edward Soll | Western International Securities |
Steven F. Coffey | American Portfolios Financial Services |
Michael James Gilhooly | RJJ Pasadena Securities |
Clarence L. McGill | GWN Securities |
Charles Lewis Bloom | Chelsea Financial Services |
Michael Quiles III | LPL Financial |
Sebastian Jimenez | HSBC Securities |
Steven Alan Horwitz | Westminster Financial Services |
Melanie Ann Melton | AllState Financial Services |
Shakela Carter | Merrill Lynch |