Former CFG Capital Markets (“CFGCM”) CEO and Executive Managing Director, Kevin Rast, has agreed to pay a $7,500 fine and serve a four-month suspension from association with any FINRA member firm in any capacity.
Tagged with "suspension"
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FINRA Suspends Former J.P. Morgan Securities Advisor
Posted on December 2nd, 2020 at 4:21 PM
Former J.P. Morgan Securities advisor David Beston agreed to pay a $5,000 fine and serve a five-month suspension from association with any FINRA member firm in any capacity.
FINRA Suspends Former Stifel Advisor for UIT Violations
Posted on November 25th, 2020 at 2:30 PM
Kurt J. Gunter, a former Stifel advisor, has agreed to pay a $10,000 fine and serve a three-month suspension from association with any FINRA member firm in any capacity.
FINRA Suspends Former Wells Fargo Advisor
Posted on November 11th, 2020 at 8:42 AM
Former Wells Fargo advisor, David R. Oakes, agreed to serve a six-month suspension from association with any FINRA member firm in any capacity.
FINRA Suspends Former Merrill Lynch Advisor
Posted on November 2nd, 2020 at 11:27 AM
Former Merrill Lynch advisor, Andrew LeBlanc II, agreed to pay a $20,000 fine and serve a six-month suspension from association with any FINRA member firm in any capacity.
FINRA Suspends Former SagePoint Financial Advisor
Posted on October 28th, 2020 at 3:16 PM
Former SagePoint Financial advisor, Troy R. Baily, agreed to pay a $5,000 fine and serve a six-month suspension from association with any FINRA member firm in any capacity.
Advisor Agrees to Refund $2.75 Million in Commissions and Serve One-Year Suspension
Posted on October 23rd, 2020 at 1:44 PM
In a settlement with the Texas State Securities Board, Brooklynn Chandler Willy agreed to pay $2.75 million and have her license as an investment adviser representative suspended for one year.
FINRA Suspends Former Merrill Lynch Broker for 21 Months
Posted on May 22nd, 2020 at 3:04 PM
Former Merrill Lynch broker, Christopher M. Roumayeh, agreed to a $15,000 fine and a 21-month suspension from association with any FINRA member firm in all capacities. According to FINRA Enforcement, Roumayeh engaged in outside business activities without providing prior written notice to his firm.
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