FINRA Suspends 15 Representatives In September 2018
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 20, 2018 list more than one dozen brokers and/or investment advisers as subject to FINRA suspension in that month. Below are the representatives included on that list, who have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these enforcement actions without admitting to or denying the allegations contained in FINRA’s sanctions. Certain suspensions listed below may have been lifted prior to or following the publication of this report. Additionally, the fines listed may not encompass the total financial penalties assessed on the representatives sanctioned, who may also have been ordered to pay disgorgement or other payments. More information about these actions is available on FINRA’s disciplinary action homepage.
| Name | Current/Former Employers | Fine Paid | Length |
| Jeffrey Robert Conklin | The Huntington Investment Company | $5,000 | 6 months |
| Junying Yan | Deutsche Bank Securities | $5,000 | 15 days |
| Daniel P. Capeless | FBR Capital Markets | $5,000 | 6 months |
| Steven William Kraut | Independent Financial Group | $5,000 | 2 months |
| Matthew Alan Morris | SunTrust Investment Services | $5,000 | 3 months |
| Damani A. Barham | Morgan Stanley | $5,000 | 3 months |
| Daniel B. Irving | Vestech Securities | $5,000 | 1 month |
| Christopher Matthew Parr | KCD Financial | n/a | 2 years |
| Marvin Joseph Sneider | Cantella & Company | $2,500 | 45 days |
| Francisco Jose Faraco | Morgan Stanley | $5,000 | 3 months |
| Robert Rushby Humberston | Ameriprise Financial Services | $5,000 | 3 months |
| Kenny Danny Mezher | Growth Capital Services | $5,000 | 2 months |
| Frederick Michael Miller | InvestShares | $5,000 | 5 months |
| Jon Lewis Sugick | NYLife Securities | $5,000 | 2 months |
| Cheryl A. George | RBC Capital Markets | $5,000 | 20 days |
| Eric Steven Korhut | Vanderbilt Securities | $5,000 | 1 month |