The following list of individual brokers who were barred by FINRA, appeared on FINRA's website under, ""Disciplinary and Other Actions, June, 2014."
Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h)
(If the bar has been vacated, the date follows the bar date.)
Christopher Bryan Babbitt (CRD #6123929) Santa Ana, California (April 28, 2014) FINRA Case #2013037016001
Amy R. Cox (CRD #3274604) Crossville, Tennessee (April 28, 2014) FINRA Case #2013036236201
Mark David Holt (CRD #3150622) Vadnais Heights, Minnesota (April 21, 2014) FINRA Case #2013038983901
Imran M. Nasrullah (CRD #5168010) Westbury, New York (April 21, 2014) FINRA Case #2013039572401
Julia Lee Saephan (CRD #6014846) Beaverton, Oregon (April 28, 2014) FINRA Case #2013038754901
The information from FINRA ends here.
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JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Soreide Law Group is investigating potential investor claims involving DCM US Multi-Family Homes PLC notes sold or recommended through Andbanc Brokerage LLC. They are also investigating sales or recommendations through Andbanc Advisory LLC. Additionally, they are reviewing sales or recommendations through BCI Securities, Inc., Boreal Capital Securities, LLC (also known as Mora Capital Securities), and […]
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