Individuals Barred by FINRA - S

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As of July 31, 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.

CRDIndividual Name
2185911JOHN MICHAEL ELIAS SAAD2
4650234PRISCILLA G. SABADO
1136269DORIA SABIA-FLORENCE
2045150WILLIAM RANDAL SABO
2556826BRUCE MICHAEL SABOURIN
2410017JOHN BATTISTA SACCO
408673DONALD JOHN SACCOMANO
4304667RYAN SETH SACKSTEIN
2565391JOHN THOMAS SADOWSKI, JR
6097401JUAN MANUEL SAENZ, JR
6014846JULIA LEE SAEPHAN
1019843PATRICK JAMES SAHLI
4330018INDERBIR SINGH SAHNI
4514611SOENA SAHNI
3259830BRIAN CAREY SAK
2899323LAZARO E SALADO
4251013GEORGE YUSUF SALAMEH
4745587JAMES A SALAMONE
6132412JOSE A SALAS
1520552JAMES F SALATA
4724934DULCE MARIA SALAVERRIA
4445191CARL PESTANO SALAZAR
2146402BETTY LYNN SALEH
2454630DEBBIE MICHELLE SALEH
4704237LOUIS SALERNO
2928448PHILIP LAWRENCE SALICE
2017792RAYMON SALINAS
3074967BLAKE MARTIN SALLEE
2470891KENNETH JASON SALUK
4607563JASON ROBERT SALZGEBER
2957114SALLY SAMARIS
4952673ROBERT AHMAD SAMEI
2687661JAMES ANTHONY SAMMARTANO
2905525STEPHEN VINCENT SAMO
1403442MICHAEL DONNELLY SAMOUCE
6238207JESSICA CLAIRE SAMPEL
1051109ROBERT JOSEPH SAMPSON
2881918SAMUEL COLIN ANDREW SAMPSON
2701995MARCELO S SAMSON
2691518RANDALL A SAMSON
2571775ZACHARY MESCH SAMUELS
1288815DAVID DUANE SAMUELSON
5401265ANDREA SANCHEZ, MRS
2393619JOSEPH ANTHONY SANCHEZ
1782052LIONEL JAMES SANCHEZ
1257900RAFAEL RAMON SANCHEZ
4795168RAQUEL MAE SABANDO SANCHEZ
4837422ZELMAN SANDERS, III
4563710WILLIAM MICHAEL SANDERS, JR
2743309BRIAN EDWARD SANDERS
5058526MARGUERITE A. SANDERS
603000MARY LOUISE SANDERS
2784897PATRICK ALAN SANDERS
2810543CHARLES JACE SANDERSON
1208656CANTWELL PAUL SANDIFUR JR
2208133ERIC ADAM SANDLER
4018124BRETT JAMES SANDMAN
4299521GEOFFERY WRAY SANDOVAL
2470082RICHARD PATRICK SANDRU
2370405DAVID JOSEPH SANDUCCI
2235440MATTHEW WILHELM SANDVIK
2574526GARY JOSEPH SANER
2794564MARK J SANPIETRO
3081856BRENDA LEE SANTANA
5367628MARCOS A SANTANA
4392280CHRISTOPHER JOHN ROCCO SANTANELLI
2494647RAFAEL SANTIAGO
4792611JOSE RICARDO SANTILLAN
2211387DANIEL CARMINE SANTORO
1135964VIRGIL QUEANO SANTOS, JR
4838431BERNARD FACTORA SANTOS
1834067DAVID PAUL SANTOS
3030271MAXIMILLIAN SANTOS
4264131RAYMOND ALBERTO SANTOS
3039781TERESITA SANTOS SANTOS
4791361YAJAIRA SANTOS
5681313SALVATORE SAPIENZA
2160078SALVATORE JOSEPH SAPIENZA
4913087SHAWN PAUL SAPP
2280252RAMZI J SARKIS
5003883CARLOS C SARMIENTO
4421729JUAN C SARMIENTO
828824LUIS GUILLERMO SARMIENTO
5746692JEHANZEB SARWAR
1743692RAGHAVAN SATHIANATHAN
2245063MICHAEL PAUL SATTERFIELD
2450263STEVEN WILLIAM SAUER
2252112BARTON GARLAND SAUNDERS
4577155DORIAN K SAUNDERS
2687410FRANK MATTEW SAVASTA
1081879RALPH ANTHONY SAVIANO
2495644LEONARD SAVITT
411660RALPH WILLARD SAVOIE
3100380KEVIN ARTHUR SAWICKI
2549482CECILIA SAWYER
5092828STEPHANIE DELAINE SAWYER
4355338EDDIE WAYNE SAWYERS
2746882CHRISTOPHER ERIC SAXON
2980607CHARLES A SAYEGH
6305789JOHN M SAYRE
2643002DAVID MICHAEL SCAFFE
4247409DEAN JOHN SCAIANO
4419495JORDAN ELIJAH SCALES
2003922LILLIAN S SCALES
1171669STANLEY LYNN SCANLON
5675353FRANK J SCARCELLO, III
2080536EMANUELE ANTHONY SCARSO
2679981FRANCESCO ANTHONY SCARSO
4764317JAMES A SCAVUZZO
4264512JAMES ROBERT SCHAEDLER, JR.
1894353STEVEN WALTER SCHAEFER
4559860MICHAEL PATRICK SCHAEFFER
4289460MICHAEL TERRENCE SCHAEFFER
2139493JOHN PAUL SCHAFFER
5114065JOSEPH SCOTT SCHAFFER
3171723PATRICIA ANN SCHAFFER
4156552TRAVIS JOHN SCHAFFER
2157286PAUL ROBERT SCHAFRANICK
1587140DAVID ALAN SCHAMS
803465MARTIN HOWARD SCHARF
1193087HAROLD FREDERICK SCHARFETTER, JR
4777313CHARLES WILLIAM SCHASER, III
5147201LAURA C SCHATZ
1601008KENNETH EUGENE SCHAUB
5192230SEAN DANIEL SCHEANS
4955739ALAN D SCHELL
4231619ADRIANA CARMEN SCHEMEL
3098457CHRISTOPHER MICHEAL SCHEMITZ
2839788JAMIE K C SCHER
1882576JACK ALLEN SCHERBERT
2886189MIKE JAMES SCHERSCHEL
4718500JESUS FRANCISCO SCHETTINO
1362617DAVID PHILLIP SCHEYER
2245018BRADLEY PAUL SCHIEBER, MR
2187044CECILIA MARIE DICAPRIO SCHIFFER
2375377ABRAHAM SCHILLER
3090571THOMAS WALTER SCHLENK
4536970ANNE MARIE SCHLENKER
502499STEVEN LAWRENCE SCHLESINGER
1302988RICHARD MARK SCHMERMAN
1548931JON BRETT SCHMIDHAMMER
2724906CHAD MATTHEW SCHMIDT
2652062DANIEL RICHARD SCHMIDT
1456723JOHN HERMAN SCHMIDT
2702014LYNN MARIE SCHMIDT
3258497RAYMOND DANIEL SCHMIDT
1453836STEPHEN WILFRED SCHMIDT
5839054SCOTT M SCHMIDTLEIN
1708137PETER SCHMITT, JR
2656314JOSEPH (NMN) SCHNAIER
2499925RANDY J SCHNEIDER
1560906MYRON DAVID SCHNEIDT
414544ROBERT EUGENE SCHNELLE
5400512CHRISTINE JANET SCHNEPP
1058291THOMAS PAUL SCHOBER
2938044WILLIAM JOHN SCHOLANDER
3013160DANIEL EDWARD SCHOTT-BARDOL
1220751JAMES MANNER SCHRACK, II
3092638JEFFREY DEAN SCHRADER
3270789LEE GERALD SCHROEDER
3014840MARK ALAN SCHROEDER
2277248SCOTT DONOVAN SCHROEDER
4177966STEVEN KEITH SCHROEDER
2205744MARSHA KAY SCHUBERT
2156623PAUL EVERETT SCHUERGER
4782819JONATHAN ROBERT SCHUKAL
4008311BARBARA LEE SCHULDT
3126179MATTHEW P SCHULMAN
1978124ERIC VONN SCHULTZ
2457055ROBERT WILLIAM SCHULTZ
2205095WAYNE ANTHONY SCHULTZ
4605235KENNETH WILLIAM SCHULZ
1319128JOHN FLOYD SCHUMACHER
4805333RICHARD S SCHUMACHER
2014844JEFFREY ALAN SCHUMAKER
415921THEODORE ALOYSIUS SCHUMAN
2894479BRIAN JONATHON SCHUSTER
2598174DONALD GENE SCHUSTER
5255964CRAIG HAROLD SCHWARTEN
1034556BARRY LEONARD SCHWARTZ
4649760CINDY MICHELE SCHWARTZ
2377803ERIC ALAN SCHWARTZ
2706982HOWARD WILLIAM SCHWARTZ
1818360LAWRENCE MICHAEL SCHWARTZ
1508633RICHARD MARK SCHWARTZ
3249923ROBERT MICHAEL SCHWARZ, JR
2444319ROBERT ALLEN SCHWARZ
2538703GLENN ANDREW SCHWARZKOPF
1637834CHERYL ROPPA SCHWARZWAELDER
736288LARRY BRYAN SCHWEIGER
2237185GARY VAN SCHWENDINGER
416709FREDERICK ROY SCHWIMMER
1576322JOSEPH JAMES SCIARRA, JR
2813945NICHOLAS RAYMOND SCIASCIA
823248FRANK NICHOLAS SCOTT, JR
5686132BRANDON E SCOTT
2984252JAMES ELWARD SCOTT
4227672JAMES L SCOTT
2332480MICHAEL MURRAY SCOTT
3121358STEPHANIE ANN SCOTT
4403760TODD AUSTIN SCOTT
2321985EDWARD FRANCIS SCRO
5432450RANDY LYNN SCRUGGS
5123671FRANK SCULCO
4498724JONATHAN JAMES SCULLIN
1180218DAVID EARL ANARD SEAGREN
1522325ROBERT MICHAEL SEAHORN, SR
6364508PAUL EDWARD SEAWARD
2826214MATTHEW LEE SECHTER
4394833JOSEPH W. SEDDON
2283690DONALD ARTHUR SEDY
1723563MALCOLM SEGAL
6169605MICHAEL GERSHON SEIDEL
2561743ERIC TODD SEIDEN
4547658BRIAN MICHAEL SEIFERT
2200011DAVID AARON SEIGERMAN
5623007COLLIN CHANNING SEIGLE
1663585BRENT ALLEN SEIL
418331WILLIAM CARL SEITZ
2936484SHANE ALEXANDER SELEWACH
3187157ALEX BENTON SELEZNOV
2601121ANTHONY LEON SEMADENI
6351144MATTHEW J SEMETULSKIS
2673196ANTONIO SEMINARIO
2120820TOBIN JOSEPH SENEFELD
5167762ALEJANDRO PABLO SENORINO
2558107TODD WILLIAM SENS
1969463EDWARD LEE SENSOR
4324398GEORGE SEPERO
1224555ROBERT EDMUND SERIO
3084958PETER J SERMABEIKIAN
1604593BENEDICTO VALDEZ SERNA
2169739MICHAEL LEWIS SEROTA
2616498JOSE LUIS SERRANO, JR
4201647RICHARD LEWIS SERRANO
5031189MICHAEL SESTITO, MR.
1005169ROBERT BAILEY SETSER
4245687DAVID ALAN SETTLE
3062946KENNETH LEE SEVERINSEN
2633956STEPHEN NICHOLAS SEVERIO
2866408CHARLES EDWARD SEVERT, JR
2764371JERROLD ROBIN SEXTON
3261031MATTHEW M SEXTON
4496492RAMY M SHAALAN
4673543SAGY SHACHAR
2908999PAMELA M SHAFER
4673612ROBERT SHAFFER
2685812BIMAL KISHORE SHAH
1146023DIPAK MAFATLAL SHAH
4409290KAPIL SHASHIKANT SHAH
4009454SANJEEV JAYANT SHAH
6527916TANVIR M SHAH
4533103JAYANT H. SHAHANI
4237482HAMZA SHAIKH
2284182RUSSELL SHAIN
1916061JOHN ARTHUR SHALVEY
6062586BRIAN EDWARD SHAMASH
2973891CHRISTOPHER WILLIAM SHANAHAN
3210308HILARY L SHANE
419822RICHARD SHANE
2624350WILLIAM KEVIN SHANKLIN, III
2887067JEREMY BLAKE SHANKSTER
5241651OLEG SHAPIRO
2687108SCOTT ALLAN SHAPIRO
2562368VADIM STEVE SHAPIRO
4507669YURY SHAPIRO
2399408SHLOMO SHARBAT
4873650JOSHUA N SHARER
5448778AARON MICHAEL SHARP
2204032DENNIS WAYNE SHARP
1767646KATHLEEN ANN SHAVE
4146204DAVID GARRETT SHAW
1003961DAVID JOSEPH SHAW
2221056JAMES GREGORY SHAW
4226230KELVIN SHAW
4065444LANCE R SHAW
1571907MICHAEL DANIEL SHAW
2868966PAUL GREGORY SHEA
2336866JAMES PATRICK SHEEHAN
2224709MARK JEFFREY SHEEHY
1912229DOUGLAS ADAM SHEINBERG
4906207JONATHAN MICHAEL SHEKLOW
6054198JOSHUA JAMES SHELBY
4478307KENNETH CHRISTOPHER SHELLEY
3082838QINGFENG SHEN
2037110SIMONE SHENASSA
2324137LINDA JOAN SHENKO
2527279DAVID LEONARD SHEPPARD
2910749EDWARD RUDOLPH SHEPPARD
2278130MITESH SHERE
3151928SEAN FRANCIS SHERIDAN
1303348DAVID LEE SHERMAN
3018860BRENDA JEAN SHERRELL
4583585STEPHEN BLAIR SHERWOOD
2125060JOSEPH BRIAN SHEVLIN, JR
3101238CARLOS AKIRA SHIBATA
4349592JEAN Y SHICK
1275344VERNON WOOD SHIFLETT
2185538DARLA JADE SHIHHSIEH
3210557HENRY SHIN
2552669CRAIG MICHAEL SHINE
1945752DALYNE LEADER SHINNEMAN
2703316JEFFREY PAUL SHIPMAN
1664561TIMOTHY PATRICK SHIVELY
6164430LAKENYA LEANN SHIVER
2897948DAMION S SHOEMAKER
4932603SAMUEL DELSHAUL SHOEMAKER
4143705BRET NELSON SHOFNER
1879026JACKSON J SHORT
2243627WONNIE LYNN SHORT
717933DANIEL JOHN SHRADER
3212618WILLIAM ANTHONY SHRINER
3208021ILAN SHTEINBERG
5025778BORIS SHTEYNGART
710362ROBERT ALTON SHUEY, III
707519AMY SHUI
5239977FREDERICK WILLIAM SHULTZ
1304562SCOTT EARL SHUMATE
4444418LONNIE RICHARD SHUPAK
1443423DONNA MARIE SHUROT, MS
1285729MICHAEL TAYLOR SHUTTLESWORTH
1214291MICHELLE STEPHANIE SIAS
423151DONALD ALLEN SIBERELL
4287925MARK ANDREW SIBERT
1523981SCOTT ALLEN SIBLEY
5001842JUSTIN C SIDAWAY
2731369DANIEL RICHARD SIDDONS
4933776KEITH F SIDELL
4600420MARIE ROCHELLE SIDNEY
4186241SAMUEL SIEBU
1242343JOSANA SIEGEL
1950871MICHAEL ALAN SIEGEL
2871429MICHAEL PAUL SIEGEL
835515STUART JAMES SIEGEL
4407213WILLIAM VICTOR SIEGEL
1488312RONALD EDWARD SIEMON
2428092KRISTIAN F SIERP
5401120ROBERT A. SIGNORE
3149987JOSEPH SIGNORELLI, JR
4547044ALLEN K SIHATRAI
4436576MARK IVAN SIKKENGA
423803MAX J SILBERMAN
4222363QUENTIN MARIUS SILIC
5913918CARLOS MARK SILVA
5291177NATHAN SILVA
1272907RUBEN MARIANO SILVA
815167JAY STEVEN SILVERBERG
1413711VALERIE HELEN SILVERSTEIN
2606998DOUGLAS P SIMANSKI
2317085JIM ZABALA SIMBE
4859279JEFFREY ROBERT SIMBRIC
1394397ROBERT SIMENZ
4590866JERRITT CLARK SIMMERS
4728166ERNIE PRESTON SIMMONS, 111
2957967STEVEN MARC SIMMONS
845441ELLIOT SETH SIMON
424556LAURENCE MITCHELL SIMON
729413LYNN ALAN SIMON
4925692TIFFANY L SIMON
5243504ANTHONY M SIMONE
5357610BRIAN SIMONE
2413602STEVEN JOHN SIMONE
1071796HAROLD STEPHEN SIMPSON, SR
2814811JOHN LARRY SIMPSON
719367JOHN SCOTT SIMPSON
5553607LORI E SIMPSON
2631722MARTY DERWIN SIMPSON
6342808ELLEN ELIZABETH SIMS
4718520GINA CRAWFORD SIMS
5987389RACHEL R SIMS
2104458THOMAS JAMES SINCLAIR
2236147HUNTER SCOTT SINGER
4548200YUVRAJ SINGH
2025299RUFINO T SINGSON, SR
4408383ARONLD ROBERT SINKO
825018PETER JOHN SINRAM
6176289TYREL L SIPE
2045588BILLY JOE SIPES
4405161SIRI NMN SIRIPHANTHONG
2064752WILLIAM ALAN SIRLS
425443JAN MELVIN SIROKY
872341RONALD HARRIS SIROTA
867488GARY DWIGHT SISSEL
1995999RICHARD ALLEN SITOMER
1236373EDWARD ROBERT SITTON
2146661STEVEN BARRY SITZER
2510782MARY ALICE SIVER-WALTERS
3188928SCOTT HARLAND SKALISKY
2791236TOMISLAV SKIBOLA
4630888RYAN WARD SKIDMORE
3080208RORY JAMES SKIFTON
2543576ERIC SCOTT SKIGEN
1414499DAVID ALLAN SKJERVEN
6008036FREDERICK PAUL SKODA
2363818THOMAS ALOYSIUS SKOVE
1191942LANCE E SLATER
4365152ALAYNA MICHELLE SLAUGHTER
3245274EDWARD MARLONE SLAY
3141438ROMAN JERZY SLEDZIEJOWSKI
4025395BRIAN THOMAS SLICHO
5188123ASHLEY DAWN SLINKARD
2166032MITCHELL HARRIS SLOANE
2318085SAMUEL WYLIE SLOANE
6375563JACQUELINE EDITH SLOCUM
3048481WILLIAM GREGORY SLONECKER
5175006MICHAEL SLUSHER
1459854NEAL SETH SMALBACH
5471377JAMES EDWARD SMALLEY
2154135DONALD EVERETT SMALLWOOD, JR
834888ROBERT MICHAEL SMART
4195655JAMES ERIC SMARTT
716056BRADLEY THOMAS SMEGAL
2499903MICHAEL JOHN SMERIGLIO, III
3160947EUGENE THEODORE SMIETANA
4644722JEFFREY ALAN SMILEY, SR.
4242074HENRY DENNIS SMILEY
5767978BRIAN DAVID SMIT
4270834KENNETH A SMITH, II
5720130JULIUS L SMITH, III
1023145GLEN EDWARD SMITH, JR
427817HERSHEL FRANCIS SMITH, JR
859167JAMES L SMITH, JR
2686969ROY ROXTON SMITH, JR
1943167THOMAS EDWARD SMITH, JR
2201854ALAN ENGLISH SMITH
2321513BRIAN MARK SMITH
1584204BRYAN KEITH SMITH
2391959CARA MARIE SMITH
2872113CHRISTINE MARIE SMITH
2710455CHRISTOPHER FRANCIS SMITH
4886942CHRISTOPHER P SMITH
3103610CRAIG SHIVER SMITH
1685641DARRELL DUANE SMITH
5767358DARREN M SMITH
4151393DAVE RANDALL SMITH
427284DAVID LEE SMITH
836628DENNIS KEVIN SMITH
4450528DONNA MARIE SMITH
5632806ELIJAH SMITH
2133043ERIC BRETON SMITH
5066135ERICA D SMITH
2950071GABRIEL NELSON SMITH
2965222GABRIELE TAMAR SMITH
2579220GARY DWAYNE SMITH
4017716GRACE W. SMITH
2136537GREGORY ALAN SMITH
1538308GREGORY KENT SMITH
6201712JAMES D SMITH
1695014JAMES NONE SMITH
4473267JAMES PATRICK SMITH
427999JEFFERY LYNN SMITH
428001JEFFREY ALAN SMITH
4505078JEFFREY HUNTER SMITH
4783827JEFFREY LYNN SMITH
6096895JENNIFER A SMITH
4512256KERIE ANNE SMITH
600012MAXWELL BALDWIN SMITH
428405MICHAEL RONALD SMITH
2099616MICHAEL WAYNE SMITH
6256393MONICA L SMITH
1946055NATHAN JAMES SMITH
4166334NICOLETTE SMITH
5788672PATRICK BRYAN SMITH
1070735PAUL WESCOE SMITH
5009835ROBERT DAVID SMITH
849053RONALD SMITH
2809794SCARLETT LOREE SMITH
1671632SHELLEY MAE SMITH
1122433STEWART FIELD SMITH
2796673TRISHA JOYCE SMITH
1808276VICKI JEAN SMITH
5669040WELLINGTON ROBERT SMITH
5461423WESLEY CLINT SMITH
1335193WILLIAM BRUCE SMITH
1932595WILLIAM WARREN SMITH
5533196HOWARD LEE SMITHSON
1060257JACK BRUCE SMOAK
4479059VICTORIA CRAWFORD SMOTHERMAN
4881052PAUL E SMYTH
5960753STACI DAWN SNEDDON
2811809MICHAEL TERRENCE SNEDEKER
1009957RANDY ALLEN SNELL
5632129PETER JOSEPH SNETZKO
6215516ROBERT JAY SNIDER
5107327DEANNA LOUISE SNODGRASS
1226789SUSAN ORA SNOEYINK
1580884ERIC SHARP SNOW
1333495GARY ALLEN SNOW
2598096LARRY LAMAR SNOW
5950558JOSEPH MURRAY SNYDER, III
2022637BRIAN KEITH SNYDER
1266667JAMES ROBERT SNYDER
4608767JEFF DAVID SNYDER
1628640WESLEY ALVIN SNYDER
2232865LEE ROBERT SOBEL
1712524THOMAS SOCCO
2493676KENDALL GEORGE SOHASKI
2214610SHAHRYAR SOHI
5019782DAVID M SOHN
5527297ELVA LUZ SOLIS
4470012CHRISTOPHER DAVID SOLOMON
6066578CHRISTOPHER LONELL SOLOMON
1093887RONALD LAWRENCE SOLOMON
4596219THOMAS LYNN SOLOMON
5549314ADRIAN JULIO SOMARRIBA ALVAREZ
2750036KATHLEEN WHORLEY SOMMER
6593808NICHOLAS ADEL SOMO
2966872DAVID SONG
5773736SALLY SONG
1802577GLOSTER KNOX SONIA
2768599JAY JOHN SOOJIAN
6265466RAYNARD KESHAV SOOKDIAL
4568172PETER WILLIAM SOOM
5341447ROBERT J. SOPER
5039149JONATHAN DOMINIC SORANNO
1001403JOSEPH SORBARA
5031354JONATHAN GORDON SORENSEN
4553509OLE LEON SORENSON, JR.
4169531KEITH EVERETT SORRENTINO
4483629JOSE BASILIO SOSA
5378836MAYRA SOTO
2390261SAMUEL THOMAS SOUTHARD
2185121SALVATORE MICHAEL SPADAFORA
4568186PHAEDRA DANELL SPAIN
5171781BENJAMIN LEE SPANIER-YEARSICH
2147336CHRISTEL MARIE SPARKS
6140090MICHAEL ALLEN SPARKS
2693667MARK FRANCIS SPEAKMAN
1400212JAMES BRIEN SPEAR
2945116SEAN ANTHONY SPEARMAN
4297575MARY FRANCES SPEARS
2931747BAYARD WILLIAM SPECTOR
1332446GARY JAY SPECTOR
2907192KRISTEN NICHOLE SPEEGLE
5563472KEVIN JOSEPH SPEICHER
2558911SHARON SPEIGHTS
4743058STEVEN MARK SPEKTOR
4542088NATHAN ALBERT SPELLS
1443074WILLIAM WALTER SPENCER, SR
2267888DARRIN DUANE SPENCER
5066973JEFF ROSS SPENCER
3194534JENNIFER ANNE SPENCER
1413447VICTORIAANN SPERBECK
4823748NATHAN MARK SPIEGEL
1961645ANTHONY PAUL SPINELLO
4210676RONALD GEORGE SPOMER, II
2332078TODD JACOB SPOMER
5910795AMBER L SPOTTED ELK
2660556ANDREW GEORGE SPOTTS
1612506TERRENCE RICHARD SPRAGUE
2200424MARTIN RONALD SPRENGER
5018292HARLEY PHILIP SPRINGER
1348104KATHY JO SPRINGER-HESMAN
1367633KIMBERLY ANN SPRINGSTEEN-ABBOTT1
1367633KIMBERLY ANN SPRINGSTEEN-ABBOTT1
3193458ROBERT JOHN SPROTT
6320333ADITI SRIVASTAVA
4195930CLAUDE ST JEAN
3159961BACH ROBERT STABILE
1940043TIMOTHY JOHN STABILE
1387980JEFFREY DOUGLAS STADELMANN
1003088JAMES PETER STAFF
4826984KEITH EVERETT STAHL
5987325CLIFFORD FRANK STALEY
1870327DIANA LEE STALLONE
1900739STEVEN CARMELLO STALTARE
838908THOMAS EDWARD STAMBORSKI
4354198ANTHONY C STAMOS
1394755DOLORES ANN STAMPS
1555221JANSEN WAYDE STAMPS
1339173MITZI SUE STAMPS
3080062MARIUS CONSTANTIN STAN
4182595GRAZYNA STANDOWICZ
1169212JOSEPH ANTHONY STANGELO
3134889PAUL DOUGLAS STANLEY
2457134BILL LARON STAPLETON
5422225WILLIAM GERARD STAPLETON
4313664ROBERT STARACE
2857200SUMNER JAMES STARBIRD
1328134BARBARA JOSEPHINE STARK
4695152MARK I STARK
5120313JAMES COLEMAN STARKS
4527783RANDALL GLEN STARKS
2574085YEVGENY GENE STAROMINSKY
4163913JEANNITA ANN STASYSZEN
2114788KENNETH MICHAEL STATLY
4967223GARY MICHAEL STATON
5669937RYAN DAVID STAUFFACHER
3220484TIMOTHY JAMES STAUFFER
4412770KAMI RENEE' STAYTON
2371970DAVID LEE STEADMAN
2815806TIMOTHY LEROY STEADMAN
2575152JEFFREY MICHAEL STEBBINS
2880729GARY CLARK STECIUK
2652674MARK STEVEN STECKLER
5406205JORDAN ROCCO STEEL
2591709BRIDGET ELAINE STEELE
2611651EPKO ANTHONY STEELE
4392667SARAH RENEE STEELE
1239718MARK GREGORY STEFFAN
1082262PAUL ANTHONY STEFFANY
4217891SCOTT GEORGE STEFFEK, MR.
4775172DENNIS J STEIGERWALT, II
434761RONALD STEIN
2851472CHAD ERIC STEINER
3229565BRET COREY STEINHART
4928430MITCHELL A STEITZ
2665378JEROME JOSEPH STELLICK
2715366JUSTIN LEE STELLMACH
2022057JOSEPH PHILIP STELWECK
1215453THERESA JANE STENCIL
4397375NICOS ACHILLEA STEPHANOU
4472630MARK WESLEY STEPHENS
830452RAYMOND CECIL STEPHENS
3252198RICK ANTHONY STEPHENS
1081772STEELE VINCENT STEPHENS
1643736TIMOTHY WILLIAM STEPHENS
4156971JENNIFER ANNE STEPHENSON
2057439SCOTT DOUGLAS STEPHENSON
4640502SHANE ANTHONY STERLING
1064356HOWARD BRUCE STERN
1581268SCOTT STERN
5339410WENDY RICE STERN
4500133HARVEY JAMES STERNAT
1223245EDWARD FRANCIS STETZ, JR
862409GARY EARLL STEVENS
4264673GINA M STEVENS
720687ROBERT GEORGE STEVENS
4585274SCOTT C STEVENS
2889238WILLIAM SLAY STEVENS
1611243ROBERT TREVLIN STEWART, JR
3181828DOUGLAS RICHARD STEWART
4178470JEFFREY ALAN STEWART
2102132ROBERT KYLE STEWART
1190849ROGER PAUL STEWART
3195756RYAN CHRISTOPHER STEWART
2151844STEPHEN RADFORD STEWART
5425478THOMAS JAMES STEWART
2094062WILLIAM MICHAEL STICKNEY
1094616JOHN RICHARD STILL
5339421COREY RAYMOND STINGLEY
1200931LESLIE CLARK STIPEK
2957284CHRISTOPHER KENNETH STIRK
2630827BRADLEY DAVID STMYER
1513263BERLE LORENZO STOCKS
1665829RICKY WAYNE STOCKTON
2128600BARRY RAY STOKES
1153617DOUGLAS LUMIR STOLBA
3035254HASKEL PAUL STONE, III
5364866CRYSTAL MARIE STONE
2922068MATTHEW DAVID STONE
4030969STEPHEN JOSEPH STOOP, JR.
2368388RICHARD WILLIAM STOPA
2329188MICHAEL LEE STOREY
5600119ROBERT KEITH STOREY
1855125OSCAR STOYANOVICH
2913145SETH ABRAHAM STRADER
4622048YEVGENIYA N. STRADLING
4596849LEIF CHRISTIAN STRAHAN
2787826ROBERT JAMES STRAIN, II
5657114SHENNA M STRALING
2010553PATRICIA LOUISE STRANDBERG
2165799NICHOLAS FRANK STRANGES
5302491RICHARD JOSEPH STRATMAN
2711294JASON CORIE STRAUSS
1586775GARY ROBERT STREMEL
5435952KAIA FUSAYO STRICKLAND
5893216ALBERT ROBERTS STRICKLER
5262687DEBBIE E STRNAD
2586060RICK FRED STROCCHIO
2829676LEON HARRY STROHECKER, III
4545753MATTHEW TRAVER STROMGREN
4381913DAVID A. STRUNK
4328570HORACE GANDY STUBBLEFIELD, III
4440047DOUGLAS WAYNE STUDER
707394MICHAEL THOMAS STUDER
2985179DAWN MARIE STUHR
5268858SAM MARSHALL STULL
2422127AMY LOU STYER
1653314WILLIAM DAVID STYLES
3116550ANGEL LUIS SUAREZ
5504422CARLOS DANIEL SUAREZ
5645277THOMAS SUAREZ
5481182CARLOS SUAZO
2494135EZRA DEMETRIUS SUBER
1244246PHILIP JOHN SUBHAN
4527175JASON M SUDWEEKS
5061692JOSEPH ANDREW SUGG, II
4329125CHERYL JANETTE SUGGS
3236936HEUNG WON SUH
1670360JOHN HENRY SUHRE
1072551OREN EUGENE SULLIVAN, JR
2796365DAVID EARL SULLIVAN
2734333FRANK WILLIAM SULLIVAN
6558363JONATHON WILLIAM SULLIVAN
2491233LAWRENCE LEE SULLIVAN
2192738MAUREEN CATHERINE SULLIVAN
5531719PAMELA J SULLIVAN
2264192PATRICK JAMES SULLIVAN
5796812PATRICK JOSEPH SULLIVAN
1765791PAUL SULLIVAN
4591223THOMAS EDWARD SULLIVAN
4015111ANDRIUS SULSKIS
4334586CHRISTOPHER ANTHONY SUMNER
1489465FREDRICK STRATTON SUNDIN
4567379EVA YEE MAY SUNG
6240517JONATHAN JAY SUNG
2558519BRUCE FRANCIS SUPANIK
1125410DAVID SUPERCINSKI
1355495JEFFREY HAROLD SUPINSKY
4435490PALIT PAUL SURANAKAPAN
837418CLARANCE JOE SUSAETA
2488808THOMAS JOHN SUSAN, JR
1932062RONALD MARK SUSSMAN
1218484JAY STEVEN SUTHERLAND
1582549DAVID SCOTT SUTTON
2912854HAROLD JAMES SWART, JR
5595698COLBY R SWARTZ
1157627KENT DUANE SWEAT
823375CHRISTOPHER ALAN SWEENEY
3068278RYAN MICHAEL SWEENEY
4138261KAMIL HAZZAA SWEIDAN
1196632DOUGLAS LEON SWENSON
4470758DAVID JAMES SWIAT
2935813BELINDA ENRIQUEZ SWIATLOWSKI
717865ELISA DALE SYKEN
2097663CASSIAN OLIVER SYLVESTER
1785603DAMIAN JUDE SYLVIA
4385607MELISSA MARIE SZILAGYI

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.

2. FINRA has received notice that this matter has been appealed to the courts. The bar remains in effect pending the outcome of the appeal.