Individuals Barred by FINRA - U

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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
2559770SUSAN YOUNG U
4264157NWAKA OGWURU UGOKWE
2807010BRIAN MICHAEL UHELSKI
4579872GIOVI ROGELIO ULLOA
1076841EUGENE ROY UMHAFER
4970331FRANK ROWLIN UNDERHILL JR
4978317JOHN EDWARD UNDERWOOD
2492377JAMES MARC UNGER
1195846WILLIAM UPCHURCH, JR
5177398ABHISHEK UPPAL
2915736SAMUEL ELIAS URQUIDEZ
4117477CARLOS M URRO
2229571MARK ALAN USELTON
2985766DEBORAH SUSAN USITALO
5727193MAHMOOD HASAN USMANI
5130691ADAM JAROD UTZ
4921933SONNY C UWADIA
4616354RONALD VICENTE UY
6619023Juan Ramon Uriarte, Jr