The following list was obtained on FINRA's "Disciplinary and Other Actions, June, 2014."
The following are the Firms Suspended for "Failure to Supply Financial Information Pursuant to FINRA Rule 9552" (According to FINRA, the date the suspension began is listed after the entry. If the suspension has been lifted, the date follows the suspension date.)
1st Bridgehouse Securities, LLC (CRD #44655) Miami, Florida (April 9, 2014)
Mosaic Capital Securities, LLC (CRD #106637)Sherman Oaks, California (April 16, 2014) FINRA Case #20140408279/FPI140002
N. Hahn & Co., Inc. (CRD #46942) New York, New York (April 24, 2014)
Western Pacific Securities, Inc. (CRD #26354) Fresno, California (April 9, 2014)
This ends the list provided on FINRA's website.
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