FINRA Suspends 15 Representatives In September 2018

September

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 20, 2018 list more than one dozen brokers and/or investment advisers as subject to FINRA suspension in that month. Below are the representatives included on that list, who have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these enforcement actions without admitting to or denying the allegations contained in FINRA’s sanctions. Certain suspensions listed below may have been lifted prior to or following the publication of this report. Additionally, the fines listed may not encompass the total financial penalties assessed on the representatives sanctioned, who may also have been ordered to pay disgorgement or other payments. More information about these actions is available on FINRA’s disciplinary action homepage.

Name Current/Former Employers Fine Paid Length
Jeffrey Robert Conklin The Huntington Investment Company $5,000 6 months
Junying Yan Deutsche Bank Securities $5,000 15 days
Daniel P. Capeless FBR Capital Markets $5,000 6 months
Steven William Kraut Independent Financial Group $5,000 2 months
Matthew Alan Morris SunTrust Investment Services $5,000 3 months
Damani A. Barham Morgan Stanley $5,000 3 months
Daniel B. Irving Vestech Securities $5,000 1 month
Christopher Matthew Parr KCD Financial n/a 2 years
Marvin Joseph Sneider Cantella & Company $2,500 45 days
Francisco Jose Faraco Morgan Stanley $5,000 3 months
Robert Rushby Humberston Ameriprise Financial Services $5,000 3 months
Kenny Danny Mezher Growth Capital Services $5,000 2 months
Frederick Michael Miller InvestShares $5,000 5 months
Jon Lewis Sugick NYLife Securities $5,000 2 months
Cheryl A. George RBC Capital Markets $5,000 20 days
Eric Steven Korhut Vanderbilt Securities $5,000 1 month