Individuals Barred by FINRA - Q
The individuals listed below have a FINRA bar in effect, which means FINRA has permanently prohibited them from association with any member in any capacity. The list comprises individuals who were associated with a FINRA registered firm on or after FINRA launched Web CRD on August 16, 1999. Where indicated, individuals on this list have appealed FINRA's final action to the SEC or, in the case of a final order of the SEC sustaining FINRA's action, to the courts; thus, the findings and sanctions of FINRA in those instances are subject to review and modification by the SEC or the courts.
This list includes individuals who were barred by FINRA as of September 30, 2020. Individuals who have been barred by FINRA as a result of a disciplinary decision or expedited proceeding will not appear on this list until the decision becomes a final FINRA action and the time period provided for an appeal permitted under the Exchange Act has expired. FINRA updates this list once a month. For more complete information, please consult BrokerCheck. Where an individual does not have a BrokerCheck record, a record of the bar can be found in the summary in the FINRA Monthly Disciplinary Action Report.
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z
CRD | Individual Name |
---|---|
4631555 | RYAN DANIEL QUALLS |
2698037 | FRANK ANTHONY QUARTARARO, JR |
3079675 | PETER RAYMOND QUARTARARO |
4654243 | MICHAEL QUATTALARO |
2572540 | MICHAEL JOSEPH QUATTROCCHI |
1912914 | JOSEPH CHARLES QUATTROCHI |
2556099 | CHRISTOPHER ALLEN QUEEN |
725263 | EDWARDS MATTHEWS QUIGLEY, III |
5891131 | BRYAN DANIEL QUIGLEY |
2567031 | PATRICK ALBERT QUIGLEY |
1968265 | WILLIAM MICHAEL QUIGLEY |
4351166 | MICHAEL QUILES |
4221761 | ART CLARION QUIMEN |
2453320 | ANDREW LYMAN QUINN |
4092270 | ANDREW WILLIAM QUINN |
1498656 | JOHN TERENCE QUINN |
4632569 | JOSEPH RYAN QUINN |
2254895 | KEVIN WILLIAM QUINN |
4478751 | MATTHEW ROGER QUINN |
2333268 | MICHAEL JOSEPH QUINN |
2434173 | ROBERT JAMES QUINN |
4252849 | ROBERT JAMES QUINN |
3027561 | MICHAEL A QUINONEZ |
2829452 | JAY LEE QUINTON |
4799239 | DONN LAWRENCE QUINTOS |
5799622 | PHILLIP QUIST |
3278125 | EARL QUON |