FINRA Bars 19 Representatives in January 2018

The Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in January 2018 includes 19 former registered representatives who were reported as barred from affiliating with FINRA member firms. The below individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions without admitting or denying the alleged underlying activities. More information about these sanctions and individuals is available on FINRA’s Disciplinary Actions webpage.