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FINRA Bars 10+ Representatives In June 2018

FINRA Bars 10+ RepresentativesAccording to publicly available records provided by the Financial Industry Regulatory Authority and accessed on June 18, 2018, FINRA reported more than ten brokers and/or investment advisers in that month as barred from association with member firms. The representatives listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) consenting to these sanctions without admitting to or denying the alleged underlying actions. Additional information about each action is available on FINRA’s disciplinary actions homepage.

 

Name Current/Former Employers
Laura Ortega Shean LPL Financial
William George Brunner Investment Planners
Domingo Gonzalez Park Avenue Securities
Scott William Palmer Janney Montgomery Scott
Kevin James Lee Martin Nielson & Company
Tyler Harris Merrill Lynch
Ron Jason Ison Buckman Buckman & Reid
Steven Pagartanis Lombard Securities
Dallas Richardson York Wells Fargo Clearing Services
Richard Gomez Avenir Financial Group
Vincent Santoro State Farm VP Management Corporation
Craig Eugene Walker NYLife Securities