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Individuals Barred by FINRA - S

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 May 31, 2019. 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

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CRD Individual Name
2185911 JOHN MICHAEL ELIAS SAAD
4650234 PRISCILLA G. SABADO
1136269 DORIA SABIA-FLORENCE
2045150 WILLIAM RANDAL SABO
2556826 BRUCE MICHAEL SABOURIN
2410017 JOHN BATTISTA SACCO
408673 DONALD JOHN SACCOMANO
5155260 MARK JOSEPH SACHSE
4304667 RYAN SETH SACKSTEIN
2565391 JOHN THOMAS SADOWSKI, JR
6097401 JUAN MANUEL SAENZ, JR
6014846 JULIA LEE SAEPHAN
1019843 PATRICK JAMES SAHLI
4330018 INDERBIR SINGH SAHNI
4514611 SOENA SAHNI
3259830 BRIAN CAREY SAK
2899323 LAZARO E SALADO
4251013 GEORGE YUSUF SALAMEH
4745587 JAMES A SALAMONE
6132412 JOSE A SALAS
1520552 JAMES F SALATA
4724934 DULCE MARIA SALAVERRIA
4445191 CARL PESTANO SALAZAR
2146402 BETTY LYNN SALEH
2454630 DEBBIE MICHELLE SALEH
4704237 LOUIS SALERNO
2692057 TREVOR MICHAEL SALIBA1
2928448 PHILIP LAWRENCE SALICE
2017792 RAYMON SALINAS
3074967 BLAKE MARTIN SALLEE
2470891 KENNETH JASON SALUK
4607563 JASON ROBERT SALZGEBER
2957114 SALLY SAMARIS
4952673 ROBERT AHMAD SAMEI
2687661 JAMES ANTHONY SAMMARTANO
2905525 STEPHEN VINCENT SAMO
1403442 MICHAEL SAMOUCE
6238207 JESSICA CLAIRE SAMPEL
1051109 ROBERT JOSEPH SAMPSON
2881918 SAMUEL COLIN ANDREW SAMPSON
2701995 MARCELO S SAMSON
2691518 RANDALL A SAMSON
2571775 ZACHARY MESCH SAMUELS
1288815 DAVID DUANE SAMUELSON
5401265 ANDREA SANCHEZ, MRS
4381110 JEANETTE MARIE SANCHEZ
2393619 JOSEPH ANTHONY SANCHEZ
1782052 LIONEL JAMES SANCHEZ
1257900 RAFAEL RAMON SANCHEZ
4795168 RAQUEL MAE SABANDO SANCHEZ
4837422 ZELMAN SANDERS, III
4563710 WILLIAM MICHAEL SANDERS, JR
2743309 BRIAN EDWARD SANDERS
3242448 DARTANIAN VJ SANDERS
5058526 MARGUERITE A. SANDERS
603000 MARY LOUISE SANDERS
2784897 PATRICK ALAN SANDERS
2810543 CHARLES JACE SANDERSON
1208656 CANTWELL PAUL SANDIFUR JR
2208133 ERIC ADAM SANDLER
4018124 BRETT JAMES SANDMAN
4299521 GEOFFERY WRAY SANDOVAL
2470082 RICHARD PATRICK SANDRU
2370405 DAVID JOSEPH SANDUCCI
2235440 MATTHEW WILHELM SANDVIK
2574526 GARY JOSEPH SANER
2794564 MARK J SANPIETRO
3081856 BRENDA LEE SANTANA
5367628 MARCOS A SANTANA
4392280 CHRISTOPHER JOHN ROCCO SANTANELLI
6297777 FLORENCE SANTIAGO
2494647 RAFAEL SANTIAGO
4792611 JOSE RICARDO SANTILLAN
2149524 CIRO SANTORO
2211387 DANIEL CARMINE SANTORO
3006826 VINCENT SANTORO
1135964 VIRGIL QUEANO SANTOS, JR
4838431 BERNARD FACTORA SANTOS
1834067 DAVID PAUL SANTOS
3030271 MAXIMILLIAN SANTOS
4264131 RAYMOND ALBERTO SANTOS
3039781 TERESITA SANTOS SANTOS
4791361 YAJAIRA SANTOS
5681313 SALVATORE SAPIENZA
2160078 SALVATORE JOSEPH SAPIENZA
4913087 SHAWN PAUL SAPP
2280252 RAMZI J SARKIS
5003883 CARLOS C SARMIENTO
4421729 JUAN C SARMIENTO
828824 LUIS GUILLERMO SARMIENTO
5746692 JEHANZEB SARWAR
1743692 RAGHAVAN SATHIANATHAN
2245063 MICHAEL PAUL SATTERFIELD
2450263 STEVEN WILLIAM SAUER
2252112 BARTON GARLAND SAUNDERS
4577155 DORIAN K SAUNDERS
2687410 FRANK MATTEW SAVASTA
1081879 RALPH ANTHONY SAVIANO
2495644 LEONARD SAVITT
411660 RALPH WILLARD SAVOIE
3100380 KEVIN ARTHUR SAWICKI
2549482 CECILIA SAWYER
5092828 STEPHANIE DELAINE SAWYER
4355338 EDDIE WAYNE SAWYERS
2746882 CHRISTOPHER ERIC SAXON
2980607 CHARLES A SAYEGH
6305789 JOHN M SAYRE
2643002 DAVID MICHAEL SCAFFE
4247409 DEAN JOHN SCAIANO
4419495 JORDAN ELIJAH SCALES
2003922 LILLIAN S SCALES
1171669 STANLEY LYNN SCANLON
5675353 FRANK J SCARCELLO, III
2080536 EMANUELE ANTHONY SCARSO
2679981 FRANCESCO ANTHONY SCARSO
4764317 JAMES A SCAVUZZO
4264512 JAMES ROBERT SCHAEDLER, JR.
1894353 STEVEN WALTER SCHAEFER
4559860 MICHAEL PATRICK SCHAEFFER
4289460 MICHAEL TERRENCE SCHAEFFER
2139493 JOHN PAUL SCHAFFER
5114065 JOSEPH SCOTT SCHAFFER
3171723 PATRICIA ANN SCHAFFER
4156552 TRAVIS JOHN SCHAFFER
2157286 PAUL ROBERT SCHAFRANICK
1587140 DAVID ALAN SCHAMS
803465 MARTIN HOWARD SCHARF
1193087 HAROLD FREDERICK SCHARFETTER, JR
4777313 CHARLES WILLIAM SCHASER, III
5147201 LAURA C SCHATZ
1601008 KENNETH EUGENE SCHAUB
5192230 SEAN DANIEL SCHEANS
4955739 ALAN D SCHELL
4231619 ADRIANA CARMEN SCHEMEL
3098457 CHRISTOPHER MICHEAL SCHEMITZ
2839788 JAMIE K C SCHER
1882576 JACK ALLEN SCHERBERT
2886189 MIKE JAMES SCHERSCHEL
4718500 JESUS FRANCISCO SCHETTINO
1362617 DAVID PHILLIP SCHEYER
2245018 BRADLEY PAUL SCHIEBER, MR
2187044 CECILIA MARIE DICAPRIO SCHIFFER
2375377 ABRAHAM SCHILLER
3090571 THOMAS WALTER SCHLENK
4536970 ANNE MARIE SCHLENKER
502499 STEVEN LAWRENCE SCHLESINGER
1302988 RICHARD MARK SCHMERMAN
1548931 JON BRETT SCHMIDHAMMER
2724906 CHAD MATTHEW SCHMIDT
2652062 DANIEL RICHARD SCHMIDT
708094 JOHN GREG SCHMIDT
1456723 JOHN HERMAN SCHMIDT
2702014 LYNN MARIE SCHMIDT
3258497 RAYMOND DANIEL SCHMIDT
1453836 STEPHEN WILFRED SCHMIDT
5839054 SCOTT M SCHMIDTLEIN
1708137 PETER SCHMITT, JR
2656314 JOSEPH (NMN) SCHNAIER
2499925 RANDY J SCHNEIDER
1560906 MYRON DAVID SCHNEIDT
414544 ROBERT EUGENE SCHNELLE
5400512 CHRISTINE JANET SCHNEPP
1058291 THOMAS PAUL SCHOBER
2938044 WILLIAM JOHN SCHOLANDER
1027958 ARNOLD SCHONBRUN
3013160 DANIEL EDWARD SCHOTT-BARDOL
1220751 JAMES MANNER SCHRACK, II
3092638 JEFFREY DEAN SCHRADER
4742497 PHILLIP ALBERT SCHREINER
3270789 LEE GERALD SCHROEDER
3014840 MARK ALAN SCHROEDER
2277248 SCOTT DONOVAN SCHROEDER
4177966 STEVEN KEITH SCHROEDER
2205744 MARSHA KAY SCHUBERT
2156623 PAUL EVERETT SCHUERGER
4782819 JONATHAN ROBERT SCHUKAL
4008311 BARBARA LEE SCHULDT
3126179 MATTHEW P SCHULMAN
1978124 ERIC VONN SCHULTZ
2457055 ROBERT WILLIAM SCHULTZ
2205095 WAYNE ANTHONY SCHULTZ
4605235 KENNETH WILLIAM SCHULZ
1319128 JOHN FLOYD SCHUMACHER
4805333 RICHARD S SCHUMACHER
2014844 JEFFREY ALAN SCHUMAKER
415921 THEODORE ALOYSIUS SCHUMAN
2894479 BRIAN JONATHON SCHUSTER
2598174 DONALD GENE SCHUSTER
5255964 CRAIG HAROLD SCHWARTEN
1034556 BARRY LEONARD SCHWARTZ
4649760 CINDY MICHELE SCHWARTZ
2377803 ERIC ALAN SCHWARTZ
2706982 HOWARD WILLIAM SCHWARTZ
3043085 JAMES BRADLEY SCHWARTZ
1818360 LAWRENCE MICHAEL SCHWARTZ
1508633 RICHARD MARK SCHWARTZ
3249923 ROBERT MICHAEL SCHWARZ, JR
2444319 ROBERT ALLEN SCHWARZ
2538703 GLENN ANDREW SCHWARZKOPF
1637834 CHERYL ROPPA SCHWARZWAELDER
736288 LARRY BRYAN SCHWEIGER
2237185 GARY VAN SCHWENDINGER
416709 FREDERICK ROY SCHWIMMER
1576322 JOSEPH JAMES SCIARRA, JR
2813945 NICHOLAS RAYMOND SCIASCIA
823248 FRANK NICHOLAS SCOTT, JR
5686132 BRANDON E SCOTT
2984252 JAMES ELWARD SCOTT
4227672 JAMES L SCOTT
2332480 MICHAEL MURRAY SCOTT
3121358 STEPHANIE ANN SCOTT
4403760 TODD AUSTIN SCOTT
2321985 EDWARD FRANCIS SCRO
5432450 RANDY LYNN SCRUGGS
5123671 FRANK SCULCO
4498724 JONATHAN JAMES SCULLIN
1180218 DAVID EARL ANARD SEAGREN
1522325 ROBERT MICHAEL SEAHORN, SR
6364508 PAUL EDWARD SEAWARD
2826214 MATTHEW LEE SECHTER
4394833 JOSEPH W. SEDDON
2283690 DONALD ARTHUR SEDY
4956209 MATTHEW PATRICK SEEMANN
1723563 MALCOLM SEGAL
6169605 MICHAEL GERSHON SEIDEL
2561743 ERIC TODD SEIDEN
4547658 BRIAN MICHAEL SEIFERT
2200011 DAVID AARON SEIGERMAN
5623007 COLLIN CHANNING SEIGLE
1663585 BRENT ALLEN SEIL
418331 WILLIAM CARL SEITZ
6834208 MICHAEL AUGUST SEKUSKY
2936484 SHANE ALEXANDER SELEWACH
3187157 ALEX BENTON SELEZNOV
2601121 ANTHONY LEON SEMADENI
6351144 MATTHEW J SEMETULSKIS
2673196 ANTONIO SEMINARIO
2120820 TOBIN JOSEPH SENEFELD
5167762 ALEJANDRO PABLO SENORINO
2558107 TODD WILLIAM SENS
1969463 EDWARD LEE SENSOR
2876279 JIM JINKOOK SEOL
4324398 GEORGE SEPERO
2067424 ANTHONY FRANK SERCIA
1224555 ROBERT EDMUND SERIO
3084958 PETER J SERMABEIKIAN
1604593 BENEDICTO VALDEZ SERNA
2169739 MICHAEL LEWIS SEROTA
2616498 JOSE LUIS SERRANO, JR
4201647 RICHARD LEWIS SERRANO
6016488 DAMIAN SERRET
5031189 MICHAEL SESTITO, MR.
4725277 PRAVEEN N/A SETHI
1005169 ROBERT BAILEY SETSER
4245687 DAVID ALAN SETTLE
3062946 KENNETH LEE SEVERINSEN
2633956 STEPHEN NICHOLAS SEVERIO
2866408 CHARLES EDWARD SEVERT, JR
6435084 JESSICA RENE SEWELL
2764371 JERROLD ROBIN SEXTON
3261031 MATTHEW M SEXTON
4496492 RAMY M SHAALAN
4673543 SAGY SHACHAR
2908999 PAMELA M SHAFER
4673612 ROBERT SHAFFER
2685812 BIMAL KISHORE SHAH
1146023 DIPAK MAFATLAL SHAH
4409290 KAPIL SHASHIKANT SHAH
4009454 SANJEEV JAYANT SHAH
6527916 TANVIR M SHAH
4533103 JAYANT H. SHAHANI
4237482 HAMZA SHAIKH
2284182 RUSSELL SHAIN
1916061 JOHN ARTHUR SHALVEY
6062586 BRIAN EDWARD SHAMASH
2973891 CHRISTOPHER WILLIAM SHANAHAN
3210308 HILARY L SHANE
419822 RICHARD SHANE
2624350 WILLIAM KEVIN SHANKLIN, III
2887067 JEREMY BLAKE SHANKSTER
5241651 OLEG SHAPIRO
2687108 SCOTT ALLAN SHAPIRO
2562368 VADIM STEVE SHAPIRO
4507669 YURY SHAPIRO
2399408 SHLOMO SHARBAT
4873650 JOSHUA N SHARER
5448778 AARON MICHAEL SHARP
2204032 DENNIS WAYNE SHARP
1767646 KATHLEEN ANN SHAVE
5603871 DANIEL RICHARD SHAW
4146204 DAVID GARRETT SHAW
1003961 DAVID JOSEPH SHAW
2221056 JAMES GREGORY SHAW
4226230 KELVIN SHAW
4065444 LANCE R SHAW
1571907 MICHAEL DANIEL SHAW
2868966 PAUL GREGORY SHEA
2628756 LAURA ORTEGA SHEAN
2336866 JAMES PATRICK SHEEHAN
2224709 MARK JEFFREY SHEEHY
1912229 DOUGLAS ADAM SHEINBERG
4906207 JONATHAN MICHAEL SHEKLOW
6054198 JOSHUA JAMES SHELBY
4478307 KENNETH CHRISTOPHER SHELLEY
3082838 QINGFENG SHEN
2037110 SIMONE SHENASSA
2324137 LINDA JOAN SHENKO
5626064 MATTHEW CARL SHEPARD
2527279 DAVID LEONARD SHEPPARD
2910749 EDWARD RUDOLPH SHEPPARD
2278130 MITESH SHERE
3151928 SEAN FRANCIS SHERIDAN
1303348 DAVID LEE SHERMAN
3018860 BRENDA JEAN SHERRELL
6567328 ZACHARY JR SHERRY
4583585 STEPHEN BLAIR SHERWOOD
2125060 JOSEPH BRIAN SHEVLIN, JR
3101238 CARLOS AKIRA SHIBATA
4349592 JEAN Y SHICK
1275344 VERNON WOOD SHIFLETT
2185538 DARLA JADE SHIHHSIEH
3210557 HENRY SHIN
2552669 CRAIG MICHAEL SHINE
1945752 DALYNE LEADER SHINNEMAN
2703316 JEFFREY PAUL SHIPMAN
1664561 TIMOTHY PATRICK SHIVELY
6164430 LAKENYA LEANN SHIVER
2701566 PAVEL SHKLYAR
2897948 DAMION S SHOEMAKER
4932603 SAMUEL DELSHAUL SHOEMAKER
4143705 BRET NELSON SHOFNER
1879026 JACKSON J SHORT
2243627 WONNIE LYNN SHORT
717933 DANIEL JOHN SHRADER
3212618 WILLIAM ANTHONY SHRINER
3208021 ILAN SHTEINBERG
5025778 BORIS SHTEYNGART
710362 ROBERT ALTON SHUEY, III
707519 AMY SHUI
5239977 FREDERICK WILLIAM SHULTZ
1304562 SCOTT EARL SHUMATE
4444418 LONNIE RICHARD SHUPAK
1443423 DONNA MARIE SHUROT, MS
1285729 MICHAEL TAYLOR SHUTTLESWORTH
5222380 PAMELA SHUTTLEWORTH
4274432 BRITTNEY JADE SIAS
1214291 MICHELLE STEPHANIE SIAS
423151 DONALD ALLEN SIBERELL
4287925 MARK ANDREW SIBERT
1523981 SCOTT ALLEN SIBLEY
2269472 NORMAN R SICARD, JR
5001842 JUSTIN C SIDAWAY
2731369 DANIEL RICHARD SIDDONS
4933776 KEITH F SIDELL
4600420 MARIE ROCHELLE SIDNEY
4186241 SAMUEL SIEBU
1242343 JOSANA SIEGEL
1950871 MICHAEL ALAN SIEGEL
2871429 MICHAEL PAUL SIEGEL
835515 STUART JAMES SIEGEL
4407213 WILLIAM VICTOR SIEGEL
1488312 RONALD EDWARD SIEMON
2428092 KRISTIAN F SIERP
5401120 ROBERT A. SIGNORE
3149987 JOSEPH SIGNORELLI, JR
4547044 ALLEN K SIHATRAI
4436576 MARK IVAN SIKKENGA
423803 MAX J SILBERMAN
4222363 QUENTIN MARIUS SILIC
5913918 CARLOS MARK SILVA
5291177 NATHAN SILVA
1272907 RUBEN MARIANO SILVA
815167 JAY STEVEN SILVERBERG
6494744 JOHN JOSEPH SILVERNALE
1413711 VALERIE HELEN SILVERSTEIN
2606998 DOUGLAS P SIMANSKI
2317085 JIM ZABALA SIMBE
4859279 JEFFREY ROBERT SIMBRIC
1394397 ROBERT SIMENZ
4590866 JERRITT CLARK SIMMERS
4728166 ERNIE PRESTON SIMMONS, 111
2957967 STEVEN MARC SIMMONS
845441 ELLIOT SETH SIMON
424556 LAURENCE MITCHELL SIMON
729413 LYNN ALAN SIMON
4925692 TIFFANY L SIMON
1062932 JOHN SCOTT SIMONCIC
5243504 ANTHONY M SIMONE
5357610 BRIAN SIMONE
2413602 STEVEN JOHN SIMONE
1071796 HAROLD STEPHEN SIMPSON, SR
5513406 JERRY WAYNE SIMPSON
2814811 JOHN LARRY SIMPSON
719367 JOHN SCOTT SIMPSON
5553607 LORI E SIMPSON
2631722 MARTY DERWIN SIMPSON
6342808 ELLEN ELIZABETH SIMS
4718520 GINA CRAWFORD SIMS
5987389 RACHEL R SIMS
2104458 THOMAS JAMES SINCLAIR
2236147 HUNTER SCOTT SINGER
4972708 MATTHEW SINGER
4548200 YUVRAJ SINGH
2025299 RUFINO T SINGSON, SR
4408383 ARONLD ROBERT SINKO
825018 PETER JOHN SINRAM
6176289 TYREL L SIPE
2045588 BILLY JOE SIPES
4405161 SIRI NMN SIRIPHANTHONG
2064752 WILLIAM ALAN SIRLS
425443 JAN MELVIN SIROKY
872341 RONALD HARRIS SIROTA
867488 GARY DWIGHT SISSEL
1995999 RICHARD ALLEN SITOMER
1236373 EDWARD ROBERT SITTON
2146661 STEVEN BARRY SITZER
2510782 MARY ALICE SIVER-WALTERS
3188928 SCOTT HARLAND SKALISKY
2791236 TOMISLAV SKIBOLA
4630888 RYAN WARD SKIDMORE
3080208 RORY JAMES SKIFTON
2543576 ERIC SCOTT SKIGEN
6091502 ELIZABETH EUNYOUNG SKILLMAN
1414499 DAVID ALLAN SKJERVEN
6008036 FREDERICK PAUL SKODA
2363818 THOMAS ALOYSIUS SKOVE
426026 EMIL JOHN SKYBA
1191942 LANCE E SLATER
4365152 ALAYNA MICHELLE SLAUGHTER
3245274 EDWARD MARLONE SLAY
3141438 ROMAN JERZY SLEDZIEJOWSKI
4025395 BRIAN THOMAS SLICHO
5188123 ASHLEY DAWN SLINKARD
2166032 MITCHELL HARRIS SLOANE
2318085 SAMUEL WYLIE SLOANE
6375563 JACQUELINE EDITH SLOCUM
3048481 WILLIAM GREGORY SLONECKER
5175006 MICHAEL SLUSHER
1459854 NEAL SETH SMALBACH
5471377 JAMES EDWARD SMALLEY
2154135 DONALD EVERETT SMALLWOOD, JR
834888 ROBERT MICHAEL SMART
4195655 JAMES ERIC SMARTT
716056 BRADLEY THOMAS SMEGAL
2499903 MICHAEL JOHN SMERIGLIO, III
3160947 EUGENE THEODORE SMIETANA
4644722 JEFFREY ALAN SMILEY, SR.
4242074 HENRY DENNIS SMILEY
5767978 BRIAN DAVID SMIT
4270834 KENNETH A SMITH, II
5720130 JULIUS L SMITH, III
1023145 GLEN EDWARD SMITH, JR
427817 HERSHEL FRANCIS SMITH, JR
859167 JAMES L SMITH, JR
2686969 ROY ROXTON SMITH, JR
1943167 THOMAS EDWARD SMITH, JR
2201854 ALAN ENGLISH SMITH
2321513 BRIAN MARK SMITH
1584204 BRYAN KEITH SMITH
2391959 CARA MARIE SMITH
2872113 CHRISTINE MARIE SMITH
2710455 CHRISTOPHER FRANCIS SMITH
4886942 CHRISTOPHER P SMITH
3103610 CRAIG SHIVER SMITH
1685641 DARRELL DUANE SMITH
5767358 DARREN M SMITH
4151393 DAVE RANDALL SMITH
6255994 DAVID EDWARD SMITH
427284 DAVID LEE SMITH
836628 DENNIS KEVIN SMITH
4450528 DONNA MARIE SMITH
5632806 ELIJAH SMITH
2133043 ERIC BRETON SMITH
5066135 ERICA D SMITH
2950071 GABRIEL NELSON SMITH
2965222 GABRIELE TAMAR SMITH
2579220 GARY DWAYNE SMITH
4017716 GRACE W. SMITH
2136537 GREGORY ALAN SMITH
1538308 GREGORY KENT SMITH
6201712 JAMES D SMITH
1695014 JAMES NONE SMITH
4473267 JAMES PATRICK SMITH
427999 JEFFERY LYNN SMITH
428001 JEFFREY ALAN SMITH
4505078 JEFFREY HUNTER SMITH
4783827 JEFFREY LYNN SMITH
6096895 JENNIFER A SMITH
4512256 KERIE ANNE SMITH
1363302 KEVIN P SMITH
600012 MAXWELL BALDWIN SMITH
5785558 MICHAEL DUANE SMITH
428405 MICHAEL RONALD SMITH
2099616 MICHAEL WAYNE SMITH
6256393 MONICA L SMITH
1946055 NATHAN JAMES SMITH
4166334 NICOLETTE SMITH
5788672 PATRICK BRYAN SMITH
1070735 PAUL WESCOE SMITH
5009835 ROBERT DAVID SMITH
849053 RONALD SMITH
2809794 SCARLETT LOREE SMITH
1671632 SHELLEY MAE SMITH
1122433 STEWART FIELD SMITH
2796673 TRISHA JOYCE SMITH
1808276 VICKI JEAN SMITH
5669040 WELLINGTON ROBERT SMITH
5461423 WESLEY CLINT SMITH
1335193 WILLIAM BRUCE SMITH
1932595 WILLIAM WARREN SMITH
5533196 HOWARD LEE SMITHSON
1060257 JACK BRUCE SMOAK
4479059 VICTORIA CRAWFORD SMOTHERMAN
4881052 PAUL E SMYTH
5960753 STACI DAWN SNEDDON
2811809 MICHAEL TERRENCE SNEDEKER
1009957 RANDY ALLEN SNELL
5632129 PETER JOSEPH SNETZKO
6215516 ROBERT JAY SNIDER
5107327 DEANNA LOUISE SNODGRASS
1226789 SUSAN ORA SNOEYINK
1580884 ERIC SHARP SNOW
1333495 GARY ALLEN SNOW
2598096 LARRY LAMAR SNOW
5950558 JOSEPH MURRAY SNYDER, III
2022637 BRIAN KEITH SNYDER
1266667 JAMES ROBERT SNYDER
4608767 JEFF DAVID SNYDER
1628640 WESLEY ALVIN SNYDER
2232865 LEE ROBERT SOBEL
1712524 THOMAS SOCCO
2493676 KENDALL GEORGE SOHASKI
2214610 SHAHRYAR SOHI
5019782 DAVID M SOHN
5527297 ELVA LUZ SOLIS
4470012 CHRISTOPHER DAVID SOLOMON
6066578 CHRISTOPHER LONELL SOLOMON
1093887 RONALD LAWRENCE SOLOMON
4596219 THOMAS LYNN SOLOMON
5549314 ADRIAN JULIO SOMARRIBA ALVAREZ
2750036 KATHLEEN WHORLEY SOMMER
2966872 DAVID SONG
5773736 SALLY SONG
2909665 SIMON BOOWON SONG
1802577 GLOSTER KNOX SONIA
2768599 JAY JOHN SOOJIAN
6265466 RAYNARD KESHAV SOOKDIAL
4568172 PETER WILLIAM SOOM
5341447 ROBERT J. SOPER
5039149 JONATHAN DOMINIC SORANNO
1001403 JOSEPH SORBARA
5031354 JONATHAN GORDON SORENSEN
4553509 OLE LEON SORENSON, JR.
4169531 KEITH EVERETT SORRENTINO
4483629 JOSE BASILIO SOSA
5378836 MAYRA SOTO
2390261 SAMUEL THOMAS SOUTHARD
2731192 JOHN WILLIAM SPACH
2185121 SALVATORE MICHAEL SPADAFORA
4568186 PHAEDRA DANELL SPAIN
4188542 SANDERS LANE SPANGLER
5171781 BENJAMIN LEE SPANIER-YEARSICH
2147336 CHRISTEL MARIE SPARKS
6140090 MICHAEL ALLEN SPARKS
2693667 MARK FRANCIS SPEAKMAN
1400212 JAMES BRIEN SPEAR
2945116 SEAN ANTHONY SPEARMAN
4297575 MARY FRANCES SPEARS
2931747 BAYARD WILLIAM SPECTOR
1332446 GARY JAY SPECTOR
2907192 KRISTEN NICHOLE SPEEGLE
5563472 KEVIN JOSEPH SPEICHER
2558911 SHARON SPEIGHTS
4743058 STEVEN MARK SPEKTOR
4542088 NATHAN ALBERT SPELLS
1443074 WILLIAM WALTER SPENCER, SR
2267888 DARRIN DUANE SPENCER
5066973 JEFF ROSS SPENCER
3194534 JENNIFER ANNE SPENCER
1413447 VICTORIAANN SPERBECK
4823748 NATHAN MARK SPIEGEL
1961645 ANTHONY PAUL SPINELLO
4210676 RONALD GEORGE SPOMER, II
2332078 TODD JACOB SPOMER
5910795 AMBER L SPOTTED ELK
2660556 ANDREW GEORGE SPOTTS
1612506 TERRENCE RICHARD SPRAGUE
2200424 MARTIN RONALD SPRENGER
5018292 HARLEY PHILIP SPRINGER
1348104 KATHY JO SPRINGER-HESMAN
1367633 KIMBERLY ANN SPRINGSTEEN-ABBOTT1
1367633 KIMBERLY ANN SPRINGSTEEN-ABBOTT1
3193458 ROBERT JOHN SPROTT
2847564 KIMBERLY LYNN SREDICH
5939838 SANJEEV SREETHARAN
6320333 ADITI SRIVASTAVA
4195930 CLAUDE ST JEAN
3159961 BACH ROBERT STABILE
1940043 TIMOTHY JOHN STABILE
1666312 SCOTT ELLIS STACKE
1387980 JEFFREY DOUGLAS STADELMANN
1003088 JAMES PETER STAFF
4826984 KEITH EVERETT STAHL
5987325 CLIFFORD FRANK STALEY
1162913 CHERYL ANN STALLINGS
1870327 DIANA LEE STALLONE
1900739 STEVEN CARMELLO STALTARE
838908 THOMAS EDWARD STAMBORSKI
4354198 ANTHONY C STAMOS
1394755 DOLORES ANN STAMPS
1555221 JANSEN WAYDE STAMPS
1339173 MITZI SUE STAMPS
3080062 MARIUS CONSTANTIN STAN
4182595 GRAZYNA STANDOWICZ
1169212 JOSEPH ANTHONY STANGELO
3134889 PAUL DOUGLAS STANLEY
2457134 BILL LARON STAPLETON
5422225 WILLIAM GERARD STAPLETON
4313664 ROBERT STARACE
2857200 SUMNER JAMES STARBIRD
1328134 BARBARA JOSEPHINE STARK
4695152 MARK I STARK
5120313 JAMES COLEMAN STARKS
4527783 RANDALL GLEN STARKS
2574085 YEVGENY GENE STAROMINSKY
4163913 JEANNITA ANN STASYSZEN
2114788 KENNETH MICHAEL STATLY
4967223 GARY MICHAEL STATON
5669937 RYAN DAVID STAUFFACHER
3220484 TIMOTHY JAMES STAUFFER
4412770 KAMI RENEE' STAYTON
2371970 DAVID LEE STEADMAN
2815806 TIMOTHY LEROY STEADMAN
2575152 JEFFREY MICHAEL STEBBINS
2880729 GARY CLARK STECIUK
2652674 MARK STEVEN STECKLER
5406205 JORDAN ROCCO STEEL
2591709 BRIDGET ELAINE STEELE
2611651 EPKO ANTHONY STEELE
4392667 SARAH RENEE STEELE
1239718 MARK GREGORY STEFFAN
1082262 PAUL ANTHONY STEFFANY
4217891 SCOTT GEORGE STEFFEK, MR.
4775172 DENNIS J STEIGERWALT, II
434761 RONALD STEIN
2851472 CHAD ERIC STEINER
3229565 BRET COREY STEINHART
4928430 MITCHELL A STEITZ
2665378 JEROME JOSEPH STELLICK
2715366 JUSTIN LEE STELLMACH
2022057 JOSEPH PHILIP STELWECK
1215453 THERESA JANE STENCIL
4397375 NICOS ACHILLEA STEPHANOU
4119268 DUDLEY FRANKLIN STEPHENS
4472630 MARK WESLEY STEPHENS
830452 RAYMOND CECIL STEPHENS
3252198 RICK ANTHONY STEPHENS
1081772 STEELE VINCENT STEPHENS
1643736 TIMOTHY WILLIAM STEPHENS
6405252 JOSHUA ALEXANDER STEPHENS-ANSELM
4156971 JENNIFER ANNE STEPHENSON
2057439 SCOTT DOUGLAS STEPHENSON
4640502 SHANE ANTHONY STERLING
1064356 HOWARD BRUCE STERN
1581268 SCOTT STERN
5339410 WENDY RICE STERN
4500133 HARVEY JAMES STERNAT
1666743 MARGARET BRINCK STERR
1223245 EDWARD FRANCIS STETZ, JR
5957270 AMUS DESMOND STEVENS
862409 GARY EARLL STEVENS
4264673 GINA M STEVENS
720687 ROBERT GEORGE STEVENS
4585274 SCOTT C STEVENS
2889238 WILLIAM SLAY STEVENS
1611243 ROBERT TREVLIN STEWART, JR
3181828 DOUGLAS RICHARD STEWART
4178470 JEFFREY ALAN STEWART
2102132 ROBERT KYLE STEWART
1190849 ROGER PAUL STEWART
3195756 RYAN CHRISTOPHER STEWART
2151844 STEPHEN RADFORD STEWART
5425478 THOMAS JAMES STEWART
2094062 WILLIAM MICHAEL STICKNEY
1094616 JOHN RICHARD STILL
5339421 COREY RAYMOND STINGLEY
1200931 LESLIE CLARK STIPEK
2957284 CHRISTOPHER KENNETH STIRK
2630827 BRADLEY DAVID STMYER
1513263 BERLE LORENZO STOCKS
1665829 RICKY WAYNE STOCKTON
5700254 JOHN BRADFORD STODDARD
5891072 CLINT HERRISON STOFFELS
2128600 BARRY RAY STOKES
1153617 DOUGLAS LUMIR STOLBA
3035254 HASKEL PAUL STONE, III
5364866 CRYSTAL MARIE STONE
2922068 MATTHEW DAVID STONE
4030969 STEPHEN JOSEPH STOOP, JR.
2368388 RICHARD WILLIAM STOPA
2329188 MICHAEL LEE STOREY
5600119 ROBERT KEITH STOREY
5958740 BRIAN MATTHEW STOVSKY
1855125 OSCAR STOYANOVICH
2913145 SETH ABRAHAM STRADER
4622048 YEVGENIYA N. STRADLING
4596849 LEIF CHRISTIAN STRAHAN
2787826 ROBERT JAMES STRAIN, II
3032417 LYNN SHUSTER STRAIN
5657114 SHENNA M STRALING
2010553 PATRICIA LOUISE STRANDBERG
2165799 NICHOLAS FRANK STRANGES
5302491 RICHARD JOSEPH STRATMAN
2711294 JASON CORIE STRAUSS
4446296 STEPHEN M. STRAUSS
1586775 GARY ROBERT STREMEL
5294385 JAMIE YUVONNE STRICKLAND
5435952 KAIA FUSAYO STRICKLAND
5893216 ALBERT ROBERTS STRICKLER
5262687 DEBBIE E STRNAD
2586060 RICK FRED STROCCHIO
2829676 LEON HARRY STROHECKER, III
4545753 MATTHEW TRAVER STROMGREN
4381913 DAVID A. STRUNK
4328570 HORACE GANDY STUBBLEFIELD, III
4440047 DOUGLAS WAYNE STUDER
707394 MICHAEL THOMAS STUDER
6300308 THOMAS LEROY STUDER
2985179 DAWN MARIE STUHR
5268858 SAM MARSHALL STULL
2422127 AMY LOU STYER
1653314 WILLIAM DAVID STYLES
3116550 ANGEL LUIS SUAREZ
5504422 CARLOS DANIEL SUAREZ
5645277 THOMAS SUAREZ
5481182 CARLOS SUAZO
2494135 EZRA DEMETRIUS SUBER
1244246 PHILIP JOHN SUBHAN
4527175 JASON M SUDWEEKS
5061692 JOSEPH ANDREW SUGG, II
4329125 CHERYL JANETTE SUGGS
3236936 HEUNG WON SUH
4518591 CHARLES SUHAR
1670360 JOHN HENRY SUHRE
1072551 OREN EUGENE SULLIVAN, JR
4411410 DANIEL ERICH SULLIVAN
2796365 DAVID EARL SULLIVAN
2734333 FRANK WILLIAM SULLIVAN
6558363 JONATHON WILLIAM SULLIVAN
2491233 LAWRENCE LEE SULLIVAN
2192738 MAUREEN CATHERINE SULLIVAN
5531719 PAMELA J SULLIVAN
2264192 PATRICK JAMES SULLIVAN
5796812 PATRICK JOSEPH SULLIVAN
1765791 PAUL SULLIVAN
4591223 THOMAS EDWARD SULLIVAN
4015111 ANDRIUS SULSKIS
4334586 CHRISTOPHER ANTHONY SUMNER
2996941 DEREK ALLEN SUNDERLAND
1489465 FREDRICK STRATTON SUNDIN
4567379 EVA YEE MAY SUNG
6240517 JONATHAN JAY SUNG
2558519 BRUCE FRANCIS SUPANIK
1125410 DAVID SUPERCINSKI
1355495 JEFFREY HAROLD SUPINSKY
4435490 PALIT PAUL SURANAKAPAN
837418 CLARANCE JOE SUSAETA
2488808 THOMAS JOHN SUSAN, JR
1932062 RONALD MARK SUSSMAN
1218484 JAY STEVEN SUTHERLAND
1582549 DAVID SCOTT SUTTON
4925443 STUART S. SUTTON
2912854 HAROLD JAMES SWART, JR
5595698 COLBY R SWARTZ
1157627 KENT DUANE SWEAT
823375 CHRISTOPHER ALAN SWEENEY
4914852 JONATHAN GEORGE SWEENEY
3068278 RYAN MICHAEL SWEENEY
4138261 KAMIL HAZZAA SWEIDAN
1196632 DOUGLAS LEON SWENSON
4470758 DAVID JAMES SWIAT
2935813 BELINDA ENRIQUEZ SWIATLOWSKI
5092004 ZACHARY SCOTT SWORDS
717865 ELISA DALE SYKEN
2097663 CASSIAN OLIVER SYLVESTER
1785603 DAMIAN JUDE SYLVIA
4385607 MELISSA MARIE SZILAGYI
6633096 Michael Alan Sadouskas
6935733 Jaime Leigh Schwede
6138143 Justin Alan Simon
6636374 Christopher Albert Simonds
430284 Paul Edward Soll
6593808 Nicholas Somo
6719083 Jason Soricelli
6789390 Brandon Eugene Strawn

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.