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FINRA Bars 20+ Representatives In July 2018

July

Publicly available records published by the Financial Industry Regulatory Authority and accessed on August 6, 2018 indicate that FINRA reported more than twenty brokers and/or investment advisers in that month as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting to or denying the alleged underlying conduct. For more information about these sanctions, visit FINRA’s disciplinary actions homepage.

 

 

Name Current/Former Employers
Joseph Glenn Pratt Signator Investors
Brian Joseph Panfil Paulson Investment Company
Vaughn Lee Andrews-McKay Pruco Securities
Stacy Elizabeth Cheney-Jamison Cuna Brokerage Services
Brian Keith Decker Worden Capital Management
James Edward Knee Voya Financial Advisors
Amy Elizabeth Pesina JP Morgan Securities
Brandon Carl Rudolph Wealthforge Securities
Norman R. Sicard Jr. Broker Dealer Financial Services
Emil John Skyba Westport Capital Markets
Ahmed Abdelmawla Gadelkareem Newport Coast Securities
Jonathan George Sweeney Navy Federal Brokerage Services
Harold Francis Couglar Montage Securities
Douglas Anthony Leone Salomon Whitney Financial
James Larkin Powers Celadon Financial Group
Meaghan Marie Johnson Northwestern Mutual Investment Services
Leona Lynn Parsons JP Morgan Securities
Herbert Voss Jr. Stockcross Financial Services
Sanjeev Sreetharan Deutsche Bank Securities
Anthony Bernard Didonato III Pruco Securities
Maria Nancy Tamburro Ameriprise Financial Services
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