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 |