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FINRA Bars 16 Representatives in February 2018

FebruaryMore than a dozen brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms in February 2018, per FINRA’s list of disciplinary actions issued in that month. The individuals enumerated below below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions; they have not admitted or denied the alleged underlying conduct. For additional information about these sanctions, visit FINRA’s Disciplinary Actions webpage.



Name Current/Former Employers
Jermaine Doral Joseph PFS Investments
Kenneth Stewart Tyrrell Cary Street Partners
Charles Henry Frieda Wells Fargo Clearing Services
Charles Bernard Lynch Jr. Wells Fargo Advisors
JoeAnn Mitchell Walker Next Financial Group
Vladimir Tingue Scottrade
Brian Michael Travers MML Investors Services
Leslie Rhodes Koonce EK Riley Securities
Zhengquan Zhang KCG Americas
Kim D. Le State Farm VP Management Corporation
Neil S. Fineman First Allied Securities
Jed Edward Tinder Western International Securities
Eddie Basora Jr. Merrimac Corporate Securities
Hank Mark Werner Legend Securities
John M. James Stifel Nicolaus & Company
Tyrone Y. Pang MML Investors Services