Individuals Barred by FINRA - S
As of September 30, 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.
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.