fbpx

FINRA Bars Stock Brokers for Failure to Provide Information-September 2014

FINRA Bars Stock Brokers for Failure to Provide Information-September 2014

FINRA Bars Stock Brokers for Failure to Provide Information-September 2014 150 150 Rex Securities Law

 In the  FINRA Disciplinary Actions Reported for September 2014 , the following individuals were barred for failure to provide information or keep information current pursuant to FINRA Rule 9552(h).

According to FINRA Sanction Guidelines “Although a barred individual may seek special permission to re-enter the industry via FINRA’s eligibility process; to date the NAC has disfavored applications for re-entry”  The National Adjudicatory Council (NAC) is the national committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings.:

  • Barry Lee Adams , Perrysburg, Ohio

  • Saravana Ram Balakrishnan, Oakland, California

  • Joshua M. Barton, Glenville, New York

  • Theresa Maria Black,  New Haven, Connecticut

  • Jason Alexander Bryan , Windsor, Wisconsin

  •  Bryan Paul Caisse , New York, New York

  • Anthony Robert Calascione, Long Branch, New Jersey

  • Eric N. Clay , North Little Rock, Arkansas

  • Eugene Lovelle Cook , Houston, Texas

  • David Lee Ellington , West Jefferson, North Carolina

  • Adam Louis Goth , Saylorsburg, Pennsylvania

  • Mark David Hassell, New York, New York

  • Anna Khatchatrian Khai , Glendale, California

  • Steve Kim aka Jung Bok Kim , Tracy, California

  • Jomar Noe Lizardo, Daytona Beach, Florida

  • David Montanez , Napa, California

  • Xashary Backtash Pimentel, Palisades Park, New Jersey

    Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

    Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

    Nationwide Representation

    Rex Securities Law

    TollFree: 877-224-3199

    Florida-561 391 1900 

    Texas-512-329-2870

%d bloggers like this: