FINRA Bars More Than One Dozen Representatives In September 2018

FINRA Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 20, 2018 indicated that more than one dozen brokers and/or investment advisers were reported as barred from association with broker-dealer firms in that month. The representatives, or former representatives enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s enforcement actions without admitting to or denying the underlying allegations of misconduct. Additional information concerning these enforcement actions is available at FINRA’s disciplinary actions homepage.

 

Name Current/Former Employers
Abraham Biderman Palladium Capital Advisors
Bradley Joseph Tennison Geneos Wealth Management
Robert Joseph Flanagan Pruco Securities
Mitchell Toby Yanow Stifel Nicolaus & Company
Paul Edward Soll Western International Securities
Steven F. Coffey American Portfolios Financial Services
Michael James Gilhooly RJJ Pasadena Securities
Clarence L. McGill GWN Securities
Charles Lewis Bloom Chelsea Financial Services
Michael Quiles III LPL Financial
Sebastian Jimenez HSBC Securities
Steven Alan Horwitz Westminster Financial Services
Melanie Ann Melton AllState Financial Services
Shakela Carter Merrill Lynch
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