Individuals Barred by FINRA - A

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As of February 28, 2018

Individuals on this list have a FINRA bar in effect. They are prohibited from engaging in securities or investment banking activity. For more information about a listed individual, click the individual's CRD number. You can also learn more about FINRA bars, including when they are posted to this list and when a sanction is subject to review and modification by the SEC or the courts.

CRDIndividual Name
5429958BARBARA JEAN ABADI
1879052JOSEPH ABBONDANTE
307EMMETT MAURICE ABERCROMBIE
1610607ANDREW MARTIN ABERN
4162073JOSH RAY ABERNATHY
2987570EUGENE GILBERT ABEYTA, JR
4311057ANTHONY RICHARD ABNER
2733649MAURICE WAYNE ABNEY
3273075AMR MOSTAFA ABOULMAGD
6140331CRYSTAL DAWN ABRAHAM
4412506SEYMOUR ISAAC ABRAMOWITZ
4936501SALVATORE ACCARDI
2508321GIOVANNI L ACEVEDO
4449836BRET MICHAEL ACKERMAN
1580808MARVIN ACKERMAN
1149303STEPHEN ROBERT ACKLEY
5264694CHAD E ACKZEN
4419505JASON ACOSTA
1429736ROBERT CHRISTIAN ACRI
3237599MAURICIO ACUNA
2016233JOSEPH JAMES ADAMO
4135862FRANK SLATES ADAMS, III
1631898BARRY LEE ADAMS
867706BRADLEY PAUL ADAMS
3180366DARREN RAY ADAMS
1450961DAVID STEPHEN ADAMS
4149381JAESON ERICH ADAMS
2833013JEFFREY CLYDE ADAMS
4606998KEVIN ERIK ADAMS
2973741RASHEED AREE ADAMS
2733333RICHARD ALLEN ADAMS
2896069RICHARD JUAN ADAMS
5510273RYAN KIMBALL ADAMS
4608530GORDON W. ADAMSON
1592822RAYMOND DICKIE ADCOCK
2641975BRYAN LEE ADDINGTON
2638760JEFFREY LEONARD ADELL
1880173JAMES RICHARD ADKINS
3175612IRVING LOUIS ADLER
2972717REGINA BALANLAY ADORA
4158129HUMBERTO DANIEL ADVINCULA
5129822MITZIE A AGARD
854773RICHARD GARY AGRAN
5343999SAMARTH AGRAWAL
5640727JUAN ALFREDO AGUILAR
5770949MARIO H AGUILAR
5663204MIGUEL ANGEL AGUILAR
6125908STEVEN ANGELO AGUILAR
2983399JAMES JOSEPH AHMANN
2404244FUAD AHMED
5532259NAASON AHUMADA
4558740ROBERT RUSSELL AIKENS
4050242JOHAN MARY-LYN AKAL
5690198SCOTT AKASHI
3108018DON JACKSON AKIN
4315718KENNY AKINFOLARIN AKINDEMOWO
4552640SHANOA ADRIANNE ROSE AKINS
5159766THADDEUS EDEM AKLOYO
4148915ROBERT JOSEPH ALANIZ
4182760JUAN CARLOS ALB
4680317JOSE ANTONIO ALBA
2662411GLEN WILLIAM ALBANESE
1067662JOSEPH RICHARD ALBERS
2213211JONNIE LAYNE ALBIN
2035269JAMES JOEL ALBRIGHT, JR
3183199MARKEL TARON ALBRITTON
3064806MILTON ALBUQUERQUE
5258443SALVADOR G ALCALA
2983730SCOTT PATRICK ALCUS
3027749RICHARD JOSEPH ALDERMAN, JR
4108723JUAN C. ALEJOS
1755471RAYMOND FRANCIS ALEKSEY
5510223ARMANDO R. ALEMAN
1615360HARRY A ALESSI, IV
2724252DAMIEN PAYMAN ALEXANDER
6044480EVAN CHRISTOPHER ALEXANDER
2760JACK ASBURY ALEXANDER
5020883MICHAEL ALLEN ALEXANDER
6116172RYAN GORDON ALEXANDER
4437162STEVEN PRESTON ALEXANDER
3273969TERRENCE THOMAS ALEXANDER
2701389LAWRENCE JOSEPH ALFANO
4049120BRIAN KEITH ALFARO
2625120DOUGLAS ALFIERI
3064116PEDRO JULIO ALFONSECA, JR.
2135500RANDY LAMAR ALFORD
2445460ROBERTO ALFORD
500332DONALD CHARLES ALGER
3063988JOSEPH ALI
4833349MOHAMMED KARIUKI ALI
5205635VIRGINIA E ALI
6126120ALEN ALIC
5774330DIMITRIS ALIFRAGIS
4943780ENVER RAHMAN ALIJAJ
3274506MUSTAPHA YOUSSEF ALJAROUDI
2019226SAVAS ZAFER ALKOC
2621727JAMES WAYNE ALLDREDGE
2171324BRIAN JOSEPH ALLEN, SR.
5515997BILLY WAYNE ALLEN
2666395JAMES CHARLES ALLEN
2574350KENNETH RONALD ALLEN
1763329MARK DAVID ALLEN
3075257NICOLE YVETTE ALLEN
2925054RAY ANTHONY ALLEN
1689767SUSAN JANE ALLEN
3051774TERRISA MARIE ALLEN
2348806TIMOTHY LUKE ALLEN
5305728DION ANTHONY ALLISON
5265234KELLYE C. ALLISON
6021970LEEANN VICKIE ALLISON
2245162ALFRED MIRZA ALLOS
5408119EMILY MAUREEN ALLRED
5092387BRANDON C ALLSUP
3141791LAURIE SUE ALMACK
1176134GILBERT LOUIS ALMADA
4447869JEREMY STEVEN ALMQUIST
6294694RICARDO ALONZO, JR
2666723KELLY CLAYTON ALTHAR
5547881LENA MICHELLE ALTMAN
1961149FREDRICK RAYMOND ALTVATER
4499192CHARLES IGNACIO ALVAREZ
2724763DOMINIC ALEX ALVAREZ
5571844EDWIN ALVAREZ
6126780MARICELA ALVAREZ
4375595RODOLFO ALVAREZ
3086395THEODORE SANIDAD ALVIA
2582497EMAD AMIN ALWAN
4710052MAJIED AD ALZID
2213067PETER KENNETH AMAN
2710334OMAR SHARIF AMANAT
4440980JUSTIN AMARAL
2927679ANTONIO AMBROSIO
2225040JEFFREY MARK AMBROSIO
4185840AMY MARIE AMBURN
2627838DODZI KOMLA AMENU
5083580DEBORAH ANNE AMES
2975952CARLA N AMIEIRO
1576068LABIB AMIRALSHARIF
2121350HOSSEIN AMIRRIAHEI
6069392KENNEDY KWABENA AMOFA
1502074JOHN JOSEPH AMORE
4728125JOSEPH STANLEY AMUNDSEN
5160369DEVIN R ANAND
4632532ABIGAIL RUBIO ANCHETA
2468059LEONAIDA A ANCHETATORRES
5776082STEPHEN R ANDERS
2872133ANDRE ANDERSON, SR
5361159AARON DEAN ANDERSON
4243107ALEX P. ANDERSON
4006436ARTHUR A ANDERSON
2283955BRIAN DOUGLAS ANDERSON
3116269BRYAN WAYNE ANDERSON
4989688CHAD MICHAEL ANDERSON
4799519CHRISTOPHER LAWRENCE ANDERSON
2204878DANA REECE ANDERSON
3210057DAVID ARTHUR ALBERT ANDERSON
4933936DAVID STEVEN ANDERSON
1127707EUGENE DONALD ANDERSON
2113685GREGORY WYLEN ANDERSON
4326656JEFFREY JON ANDERSON
2285320JEFFREY LEE ANDERSON
5335694JOHN MARK ANDERSON
1837799KEITH M ANDERSON
5065346MONICA NICOLE ANDERSON
1984629RENE CARLOS ANDERSON
4684930TERRI LYNN ANDERSON
2218049THOMAS WILLIAM ANDERSON
5640WARD BYRON ANDERSON
2709918JANE MARIE ANDRASHIE
2936298ANTOINE ANDRE
6196235ALISON NICOLE ANDREWS
1717820JOHN MICHAEL ANDREWS
2089621KEITH JACOB ANDREWS
1992069KEVIN SHAWN ANDREWS
4587953THOMAS EDWARD ANDREWS
2371705ROBERTA I ANDRINA
5307459ALEXANDER ANDUJAR
5391037GREGORY MORGAN ANGELILLO
1552444MOLLY K ANGELO
2670988MORRIS ANGELOU
811495ROBERT THOMSON ANGLE
3171868RONALD GENE ANGLIN
2221337MAYRA JEANETTE ANGULO
2245120NOEL MENDOZA ANONUEVO
2356706HARRY MICHAEL ANTHONY
2596275KIMBERLY GALLOPS ANTHONY
2955420PETER T ANTIPATIS
3215807DOMINIC ANTONUCCI
713649JOSEPH JOHN ANTOSH, JR
1604427CHARLES WILLIAM APODACA
1595927NICHOLAS APODIAKOS
4211338CARLOS APONTE, JR.
1026798DAVID APPEL
6661LEIGHTON DAVID APPLEFELD
2431669ANTHONY JAMES APUZZO
1130803FRANK CARMEN AQUILA
2851934NICOLAS ESTEBAN ARANGO
1649069DONALD PAUL ARANT, SR
5625392LEONARDO S ARAUJO
4737140NATHAN PAUL ARAUJO
4610869HERNAN ESTEBAN ARBIZU
4781588DONOVAN ARCHER
6890JOHN THOMAS ARCHER
1979672LONZO ARCHER
6125762KIRK ERIC ARCHIBALD
5837571JAMES KENNETH ARD
1598393RUSHTON LEIGH ARDREY, III
5757952FELIPE ARELLANO
2560324RICHARD JOSEPH ARENA, JR
826440LOUIS PATRICK ARENA
1083897THOMAS MICHAEL ARETZ
5884590FERNANDO L AREVALO
4418605STEVEN JOHN ARGO
2518033ALBERTO ENRIQUE ARGOMANIZ
4335211LUIS ARGUELLES
4556162MAXI JOEL ARIAS
2957096CHRISTOPHER B ARIOLA
2877644SHAWN PAUL ARLAUCKAS
4993347IVAN ARMAS
3117506JOSEPH E ARMENTA
1213772MICHAEL EDWARD ARMENTROUT
1037854JOHN GRANT ARMISTEAD, III
1041078GARY THOMAS ARMITAGE
2729805STANLEY CRAWFORD ARMOUR
6124102AARON CARTER ARMSTRONG
5293387CRISTIANO G.M.C. ARNDT
2606096CATHERINE ELIZABETH ARNETT
7458JOHN HUTCHISON ARNETTE
2643104ANDREW PAUL ARNO
4192536DEBBIE SUE ARNOLD
2550256JACK ALEXANDER ARNOLD
4551033JORDAN ANNE ARNOLD
6308181MATTHEW JOHN ARNOLD
2278472PAUL DAVID ARNOLD
1817656ROBERT PAUL ARNOLD
4664318STEVEN ROBERT ARON
6212050JONATHAN ARROYO
4163052JOSE A ARTETA
6249211JARED CODY ARTHO
6440268KERBYE ARTHUR
2374368HERIBERTO AMERICO ARTIGA, SR
1324218LORIANN ARTZBERGER
4209245HILDA ASENCIO
1148811MANUEL PETER ASENSIO
867625ELIAS EMILE ASHOOH
5794420BRETT ALEXANDER ASHY
5172158GENE MICHAEL ASKINS
2849493MICHAEL JOHN ASSENZA
5137579MARCELO L ASSIS
2589195PROSPERO ATIENZA, JR
1438065JAMES RAY ATRAT
1132472RYAN JERRY ATTENSON
1208702CHARLES EDWARD ATWELL
2540982BRENT ALLEN ATWOOD
3197843DIONNE MARIA AUBERT
2053214JOHN DOUGLAS AUDIFFEREN
708942JOEL ARNOLD AUGUST
1081795TARRANT MCCUTCHEN AUGUSTINE
4608307CHING Y AUL, MR.
4890774RAMNIK SINGH AULAKH
1798015RICKY DARNELL AUSBON
5262341TODD AUSTIN
2089448OPIE BLAND AUTEN
1606802MICHAEL AVELLA, JR
2005765COLLEEN ANNE AVERILL
4766216KERRI LYNN AVERY
4192196TAAL ALEXANDER AVIAD
4341162RAFAEL ERNESTO AVILA
4943291ANGEL MANUEL AVILES
5845463DAVID CHRISTOPHER AWAD
9148MICHAEL GERARDY AWES
9164MICHAEL LEWIS AXEL
2467912EDWIN AYALA
2197712DENNIS O AYERS
1127162JOSEPH KESL AYLWARD
4798445MASOOD HUSAIN AZAD
5880708KAMRAN AZIM
2446677JOSEPH JOHN AZZATA
6589844Christina Albert
2862178Mercy J Alpert
1101660James Arthur Avery