Individuals Barred by FINRA - A

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As of June 30, 2017

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.

CRD Individual Name
5429958 BARBARA JEAN ABADI
1879052 JOSEPH ABBONDANTE
307 EMMETT MAURICE ABERCROMBIE
1610607 ANDREW MARTIN ABERN
4162073 JOSH RAY ABERNATHY
2987570 EUGENE GILBERT ABEYTA, JR
4311057 ANTHONY RICHARD ABNER
2733649 MAURICE WAYNE ABNEY
3273075 AMR MOSTAFA ABOULMAGD
6140331 CRYSTAL DAWN ABRAHAM
4412506 SEYMOUR ISAAC ABRAMOWITZ
4936501 SALVATORE ACCARDI
2508321 GIOVANNI L ACEVEDO
4449836 BRET MICHAEL ACKERMAN
1580808 MARVIN ACKERMAN
1149303 STEPHEN ROBERT ACKLEY
5264694 CHAD E ACKZEN
4419505 JASON ACOSTA
1429736 ROBERT CHRISTIAN ACRI
3237599 MAURICIO ACUNA
2016233 JOSEPH JAMES ADAMO
4135862 FRANK SLATES ADAMS, III
1631898 BARRY LEE ADAMS
867706 BRADLEY PAUL ADAMS
3180366 DARREN RAY ADAMS
1450961 DAVID STEPHEN ADAMS
4149381 JAESON ERICH ADAMS
2833013 JEFFREY CLYDE ADAMS
4606998 KEVIN ERIK ADAMS
2973741 RASHEED AREE ADAMS
2733333 RICHARD ALLEN ADAMS
2896069 RICHARD JUAN ADAMS
5510273 RYAN KIMBALL ADAMS
4608530 GORDON W. ADAMSON
1592822 RAYMOND DICKIE ADCOCK
2641975 BRYAN LEE ADDINGTON
2638760 JEFFREY LEONARD ADELL
1880173 JAMES RICHARD ADKINS
3175612 IRVING LOUIS ADLER
2972717 REGINA BALANLAY ADORA
4158129 HUMBERTO DANIEL ADVINCULA
5129822 MITZIE A AGARD
854773 RICHARD GARY AGRAN
5343999 SAMARTH AGRAWAL
5640727 JUAN ALFREDO AGUILAR
5770949 MARIO H AGUILAR
5663204 MIGUEL ANGEL AGUILAR
6125908 STEVEN ANGELO AGUILAR
2983399 JAMES JOSEPH AHMANN
2404244 FUAD AHMED1
5532259 NAASON AHUMADA
4558740 ROBERT RUSSELL AIKENS
4050242 JOHAN MARY-LYN AKAL
5690198 SCOTT AKASHI
3108018 DON JACKSON AKIN
4315718 KENNY AKINFOLARIN AKINDEMOWO
4552640 SHANOA ADRIANNE ROSE AKINS
5159766 THADDEUS EDEM AKLOYO
4148915 ROBERT JOSEPH ALANIZ
4182760 JUAN CARLOS ALB
4680317 JOSE ANTONIO ALBA
2662411 GLEN WILLIAM ALBANESE
1067662 JOSEPH RICHARD ALBERS
2213211 JONNIE LAYNE ALBIN
2035269 JAMES JOEL ALBRIGHT, JR
3183199 MARKEL TARON ALBRITTON
3064806 MILTON ALBUQUERQUE
5258443 SALVADOR G ALCALA
2983730 SCOTT PATRICK ALCUS
3027749 RICHARD JOSEPH ALDERMAN, JR
4108723 JUAN C. ALEJOS
1755471 RAYMOND FRANCIS ALEKSEY
5510223 ARMANDO R. ALEMAN
1615360 HARRY A ALESSI, IV
2724252 DAMIEN PAYMAN ALEXANDER
6044480 EVAN CHRISTOPHER ALEXANDER
2760 JACK ASBURY ALEXANDER
5020883 MICHAEL ALLEN ALEXANDER
6116172 RYAN GORDON ALEXANDER
4437162 STEVEN PRESTON ALEXANDER
3273969 TERRENCE THOMAS ALEXANDER
2701389 LAWRENCE JOSEPH ALFANO
4049120 BRIAN KEITH ALFARO
2625120 DOUGLAS ALFIERI
3064116 PEDRO JULIO ALFONSECA, JR.
2135500 RANDY LAMAR ALFORD
2445460 ROBERTO ALFORD
500332 DONALD CHARLES ALGER
3063988 JOSEPH ALI
4833349 MOHAMMED KARIUKI ALI
5205635 VIRGINIA E ALI
6126120 ALEN ALIC
5774330 DIMITRIS ALIFRAGIS
4943780 ENVER RAHMAN ALIJAJ
3274506 MUSTAPHA YOUSSEF ALJAROUDI
2019226 SAVAS ZAFER ALKOC
2621727 JAMES WAYNE ALLDREDGE
2171324 BRIAN JOSEPH ALLEN, SR.
5515997 BILLY WAYNE ALLEN
2666395 JAMES CHARLES ALLEN
2574350 KENNETH RONALD ALLEN
1763329 MARK DAVID ALLEN
3075257 NICOLE YVETTE ALLEN
2925054 RAY ANTHONY ALLEN
3051774 TERRISA MARIE ALLEN
2348806 TIMOTHY LUKE ALLEN
5305728 DION ANTHONY ALLISON
6021970 LEEANN VICKIE ALLISON
2245162 ALFRED MIRZA ALLOS
5408119 EMILY MAUREEN ALLRED
5092387 BRANDON C ALLSUP
3141791 LAURIE SUE ALMACK
1176134 GILBERT LOUIS ALMADA
4447869 JEREMY STEVEN ALMQUIST
6294694 RICARDO ALONZO, JR
2666723 KELLY CLAYTON ALTHAR
5547881 LENA MICHELLE ALTMAN
1961149 FREDRICK RAYMOND ALTVATER
4499192 CHARLES IGNACIO ALVAREZ
2724763 DOMINIC ALEX ALVAREZ
5571844 EDWIN ALVAREZ
6126780 MARICELA ALVAREZ
4375595 RODOLFO ALVAREZ
3086395 THEODORE SANIDAD ALVIA
2582497 EMAD AMIN ALWAN
4710052 MAJIED AD ALZID
2213067 PETER KENNETH AMAN
2710334 OMAR SHARIF AMANAT
4440980 JUSTIN AMARAL
2927679 ANTONIO AMBROSIO
2225040 JEFFREY MARK AMBROSIO
4185840 AMY MARIE AMBURN
2627838 DODZI KOMLA AMENU
5083580 DEBORAH ANNE AMES
2975952 CARLA N AMIEIRO
1576068 LABIB AMIRALSHARIF
2121350 HOSSEIN AMIRRIAHEI
6069392 KENNEDY KWABENA AMOFA
1502074 JOHN JOSEPH AMORE
4728125 JOSEPH STANLEY AMUNDSEN
5160369 DEVIN R ANAND
4632532 ABIGAIL RUBIO ANCHETA
2468059 LEONAIDA A ANCHETATORRES
5776082 STEPHEN R ANDERS
2872133 ANDRE ANDERSON, SR
5361159 AARON DEAN ANDERSON
4243107 ALEX P. ANDERSON
4006436 ARTHUR A ANDERSON
2283955 BRIAN DOUGLAS ANDERSON
3116269 BRYAN WAYNE ANDERSON
4799519 CHRISTOPHER LAWRENCE ANDERSON
2204878 DANA REECE ANDERSON
3210057 DAVID ARTHUR ALBERT ANDERSON
4933936 DAVID STEVEN ANDERSON
1127707 EUGENE DONALD ANDERSON
2113685 GREGORY WYLEN ANDERSON
4326656 JEFFREY JON ANDERSON
2285320 JEFFREY LEE ANDERSON
5335694 JOHN MARK ANDERSON
1837799 KEITH M ANDERSON
5065346 MONICA NICOLE ANDERSON
1984629 RENE CARLOS ANDERSON
4684930 TERRI LYNN ANDERSON
2218049 THOMAS WILLIAM ANDERSON
5640 WARD BYRON ANDERSON
2709918 JANE MARIE ANDRASHIE
2936298 ANTOINE ANDRE
6196235 ALISON NICOLE ANDREWS
1717820 JOHN MICHAEL ANDREWS
2089621 KEITH JACOB ANDREWS
1992069 KEVIN SHAWN ANDREWS
4587953 THOMAS EDWARD ANDREWS
2371705 ROBERTA I ANDRINA
5307459 ALEXANDER ANDUJAR
5391037 GREGORY MORGAN ANGELILLO
1552444 MOLLY K ANGELO
2670988 MORRIS ANGELOU
811495 ROBERT THOMSON ANGLE
3171868 RONALD GENE ANGLIN
2221337 MAYRA JEANETTE ANGULO
2245120 NOEL MENDOZA ANONUEVO
2356706 HARRY MICHAEL ANTHONY
2596275 KIMBERLY GALLOPS ANTHONY
2955420 PETER T ANTIPATIS
3215807 DOMINIC ANTONUCCI
713649 JOSEPH JOHN ANTOSH, JR
1604427 CHARLES WILLIAM APODACA
1595927 NICHOLAS APODIAKOS
4211338 CARLOS APONTE, JR.
1026798 DAVID APPEL
6661 LEIGHTON DAVID APPLEFELD
2431669 ANTHONY JAMES APUZZO
1130803 FRANK CARMEN AQUILA
1649069 DONALD PAUL ARANT, SR
4737140 NATHAN PAUL ARAUJO
4610869 HERNAN ESTEBAN ARBIZU
4781588 DONOVAN ARCHER
6890 JOHN THOMAS ARCHER
1979672 LONZO ARCHER
6125762 KIRK ERIC ARCHIBALD
5837571 JAMES KENNETH ARD
1598393 RUSHTON LEIGH ARDREY, III
5757952 FELIPE ARELLANO
2560324 RICHARD JOSEPH ARENA, JR
826440 LOUIS PATRICK ARENA
1083897 THOMAS MICHAEL ARETZ
5884590 FERNANDO L AREVALO
4418605 STEVEN JOHN ARGO
2518033 ALBERTO ENRIQUE ARGOMANIZ
4335211 LUIS ARGUELLES
4556162 MAXI JOEL ARIAS
2957096 CHRISTOPHER B ARIOLA
2877644 SHAWN PAUL ARLAUCKAS
4993347 IVAN ARMAS
3117506 JOSEPH E ARMENTA
1213772 MICHAEL EDWARD ARMENTROUT
1037854 JOHN GRANT ARMISTEAD, III
1041078 GARY THOMAS ARMITAGE
2729805 STANLEY CRAWFORD ARMOUR
6124102 AARON CARTER ARMSTRONG
5293387 CRISTIANO G.M.C. ARNDT
2606096 CATHERINE ELIZABETH ARNETT
7458 JOHN HUTCHISON ARNETTE
2643104 ANDREW PAUL ARNO
4192536 DEBBIE SUE ARNOLD
2550256 JACK ALEXANDER ARNOLD
4551033 JORDAN ANNE ARNOLD
6308181 MATTHEW JOHN ARNOLD
2278472 PAUL DAVID ARNOLD
1817656 ROBERT PAUL ARNOLD
4664318 STEVEN ROBERT ARON
6212050 JONATHAN ARROYO
4163052 JOSE A ARTETA
6249211 JARED CODY ARTHO
2374368 HERIBERTO AMERICO ARTIGA, SR
1324218 LORIANN ARTZBERGER
4209245 HILDA ASENCIO
1148811 MANUEL PETER ASENSIO
867625 ELIAS EMILE ASHOOH
5172158 GENE MICHAEL ASKINS
2849493 MICHAEL JOHN ASSENZA
5137579 MARCELO L ASSIS
2589195 PROSPERO ATIENZA, JR
1438065 JAMES RAY ATRAT
1132472 RYAN JERRY ATTENSON
1208702 CHARLES EDWARD ATWELL
2540982 BRENT ALLEN ATWOOD
3197843 DIONNE MARIA AUBERT
2053214 JOHN DOUGLAS AUDIFFEREN
708942 JOEL ARNOLD AUGUST
1081795 TARRANT MCCUTCHEN AUGUSTINE
4608307 CHING Y AUL, MR.
4890774 RAMNIK SINGH AULAKH
1798015 RICKY DARNELL AUSBON
5262341 TODD AUSTIN
2089448 OPIE BLAND AUTEN
1606802 MICHAEL AVELLA, JR
2005765 COLLEEN ANNE AVERILL
1101660 JAMES ARTHUR AVERY, JR
4766216 KERRI LYNN AVERY
4192196 TAAL ALEXANDER AVIAD
4341162 RAFAEL ERNESTO AVILA
4943291 ANGEL MANUEL AVILES
5845463 DAVID CHRISTOPHER AWAD
9148 MICHAEL GERARDY AWES
9164 MICHAEL LEWIS AXEL
2467912 EDWIN AYALA
2197712 DENNIS O AYERS
1127162 JOSEPH KESL AYLWARD
5880708 KAMRAN AZIM
2446677 JOSEPH JOHN AZZATA
2862178 Mercy J Alpert

1. This matter has been appealed to the SEC. The findings and sanctions imposed are subject to review and modification by the SEC. The bar remains in effect pending the outcome of the appeal.