FINRA – Broker Actions2020-02-04T11:53:54-05:00

Charles Baker Barred from Securities Industry by FINRA After Investigation

By |June 16th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Charles Ronald Baker (CRD # 10600) was recently barred from the securities [...]

Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

By |June 15th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blakely Page (CRD # 2922955) was recently suspended from the securities industry [...]

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

By |June 13th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]

Walter Waitak Light Suspended from Securities Industry by FINRA for Unauthorized Discretion

By |June 12th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Walter Waitak Light (CRD # 1494331) was recently suspended from the securities [...]

Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

By |March 28th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Edward Nicolassy (CRD # 6244539) was recently suspended from the securities industry by [...]

Christopher Bond Suspended by FINRA from Securities Industry for Unauthorized Discretion

By |February 13th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Broker/Investment Adviser, Christopher Edward Bond (CRD # 4658534) was recently suspended from the securities industry [...]

Ronald Bright Suspended from Securities Industry by FINRA for Unauthorized Discretion

By |February 3rd, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Broker/Investment Adviser, Ronald Scott Bright (CRD # 2702179) was recently suspended from the securities industry [...]

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