FINRA Bars 10+ Representatives In June 2018

According 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