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FINRA Bars 19 Representatives in January 2018

blog-pics-5-300x200The Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in January 2018 includes 19 former registered representatives who were reported as barred from affiliating with FINRA member firms. The below individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions without admitting or denying the alleged underlying activities. More information about these sanctions and individuals is available on FINRA’s Disciplinary Actions webpage.

 

 

Name Current/Former Employers
Masood Husain Azad First Allied Securities
Lisa DeAnne Casper Robert W. Baird & Company
William Haug Paterson GWN Securities
Lisa J. Lowi Janney Montgomery Scott
Victor Michel Financial West Group
Adam I. Ocner UBS Financial Services
Eric Spencer Ovesen Realty Capital Services
Christopher Michael Tenaglia Realty Capital Services
Victor M. Dandridge III Thompson Davis & Company
Jerry Lou Guttman United Planners Financial Services of America
Robert Hayes Hoffmann Thurston Springer Miller Herd & Titak
Gopi Krishna Vungarala Purshe Kaplan Sterling Investments
Brian Frederick Gimelson North Nassau Advisors
Brian Lamont Royster HD Vest Investment Services
Edward Michael Zadworny MML Investors Services
Craig Edward Lewis Valic Financial Advisors
David Lee Reynolds AllState Financial Services
Demitrios Hallas PHX Financial

 

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