Posts Tagged ‘suspended brokers’
Ricardo Urrutia, formerly of Mutual of Omaha Investor Services, Suspended by FINRA
Ricardo Urrutia (CRD#: 5719923), a former broker with Mutual of Omaha Investor Services, Inc. (CRD#: 611) in Paramus, New Jersey, has been suspended by the Financial Industry Regulatory Authority (FINRA) after he failed to comply with an arbitration award, according to his BrokerCheck record accessed on April 21, 2020. On March 31, 2020, FINRA suspended…
Read MoreAndy Grant, of Laidlaw & Company (UK) Ltd., Suspended from the Securities Industry
Andy Grant (CRD#: 2709882), a registered representative with Laidlaw & Company (UK) Ltd. in Melville, NY (CRD#: 119037), has been suspended from the securities industry by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on February 21, 2020. What happened to lead to Andy Grant’s suspension from the securities industry? On…
Read MoreJerry Wells, New York Broker, Suspended from the Securities Industry Over Variable Annuity Misrepresentations
Jerry Wells (CRD#: 1015358), a registered representative with Sagepoint Financial, Inc. (CRD#: 133763) in Rochester, New York, has been suspended from the securities industry by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on January 22, 2020. On December 4, 2019, Jerry Wells entered into an Acceptance, Waiver, and Consent (AWC)…
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