Barred Broker Archives - Securities & Investment Lawyer

Isaac Stewart Barred by FINRA

Jun 30, 2022 Barred Broker

Isaac Stewart (CRD #: 6374575), a formerly registered broker registered with Merrill Lynch, has been suspended by FINRA. This is according to his BrokerCheck record, […]

Doan Nguyen Permanently Barred by FINRA

Jun 27, 2022 Barred Broker

Doan Nguyen (CRD #: 6554242) has been barred by FINRA, according to his BrokerCheck record, accessed on June 19, 2022. Read on to learn more […]

SEC Permanently Bars Scott Merkelson

Jun 21, 2022 Barred Broker

Scott Merkelson (CRD #: 3148803) has been barred by the SEC, according to his BrokerCheck record, accessed on June 11, 2022. Keep reading to learn […]

Edric McSween Barred by FINRA

Jun 10, 2022 Barred Broker

Edric McSween (CRD #: 2080810), a broker previously registered with Ameriprise Financial Services, has been barred by FINRA, according to his BrokerCheck record, accessed on […]

Stephanie Xiao Barred from FINRA For Allegedly Refusing to Provide Information

Jun 10, 2022 Barred Broker

Stephanie Xiao (CRD #: 7013792) has been barred from FINRA, according to her BrokerCheck record, accessed on June 3, 2022. If you have questions about […]

FINRA Bars Timothy Prouty Indefinitely

Jun 8, 2022 Barred Broker

Timothy Prouty (CRD #: 4928098), a broker previously registered with Morgan Stanley, was barred by FINRA, according to his BrokerCheck record, accessed on June 2, […]

Barbara Ann Bernatzky Indefinitely Barred by FINRA

Jun 8, 2022 Barred Broker

Barbara Bernatzky (CRD #: 2535421) has been barred by FINRA, according to her BrokerCheck record, accessed on June 2, 2022. This follows allegations that she […]

Guy Kossuth Barred by FINRA

Jun 6, 2022 Barred Broker

Guy Kossuth (CRD #: 2905607) was barred from FINRA, according to his BrokerCheck record, accessed on May 28, 2022. If you want to learn more […]

FINRA Bars Garrett Caplin Indefinitely

May 12, 2022 Barred Broker

Garrett Caplin (CRD #: 5968832), a former broker, was barred by FINRA, according to his BrokerCheck record, accessed on May 9, 2022. Read on if […]

Paul Koch Barred from FINRA

May 12, 2022 Barred Broker

Paul Koch (CRD #: 1777599) was barred by FINRA, according to his BrokerCheck record, accessed on May 8, 2022. If you want to learn more […]

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