FINRA Disciplinary Actions January 2021
DUSTIN PAUL SCHAFER (CRD #4198962, NEW YORK, NEW YORK) January 7, 2021 – An AWC was issued in which Schafer was barred from association with …
FINRA Discipline
FINRA Disciplinary Actions December 2020
DAVID ALAN STATEMAN (CRD #5530638, MIAMI, FLORIDA) December 1, 2020 – An AWC was issued in which Stateman was barred from association with any FINRA …
Girard Bengali, APC, Investigating Cynthia Cowden and NBP Financial Group, LLC
October 30, 2020 – A finance industry regulator, Financial Industry Regulatory Authority (FINRA), has barred former NBP Financial Group advisor Cynthia Cowden (née Case) from …
Girard Bengali, APC, Investigating Cynthia Cowden and NBP Financial Group, LLC Read More »
FINRA Disciplinary Actions January 2020
Bryce J. Vance (CRD #6499644, Caldwell, Idaho) November 1, 2019 – An AWC was issued in which Vance was barred from association with any FINRA …
FINRA Disciplinary Actions December 2019
Table of Contents Individuals Barred Cristina Sabengsy (CRD #6304970, Gilberts, Illinois) October 2, 2019 – An AWC was issued in which Sabengsy was barred from …
FINRA Discipline October 2019
Table of Contents Individuals Barred Beth Ann Hamilton (CRD #3092302, Port Matilda, Pennsylvania) August 1, 2019 – An AWC was issued in which Hamilton was …