Raymond James, FINRA ID # 11-03503 (Bradenton, FL, 8/21/2012) A split FINRA arbitration panel awarded $985,700, including triple damages, to an elderly customer on his misappropriation claim. This award against Paul David Arnold, and Raymond James and Associates, Inc., of Bradenton, Florida, involved the purchasing of an annuity, electronic transfers and conversion of funds of […]

Alejandro C. Rotundo (CRD #4627887, Registered Representative, Miami, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying FINRA's findings, Rotundo consented to the described sanctions and to the entry of findings that he executed option trades in a customer’s account without […]

Stanley Neil Crooms (CRD #852539, Registered Representative, St. Petersburg, Florida) was barred from association with any FINRA member in any capacity. Crooms consented to the described sanction and to the entry of findings that he failed to provide all of the information FINRA requested as part of an investigation into the allegations that he had […]

Thomas Eugene Hendricks (CRD #2622427, Registered Representative, Salem, Ohio) was barred from association with any FINRA member in any capacity. Without admitting or denying thefindings, Hendricks consented to the described sanction and to the entry of findings that he borrowed $3,000 from a customer/personal friend to be repaid by a certain date, but failed to […]

  Sean K. Hannon (CRD #4296260, Registered Representative, Cary, North Carolina)   has submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Hannan, without admitting or denying FINRA's allegations, consented to the described sanction and to the entry of findings that he failed to provide investigative […]

Enrique Roy (CRD #5339904, Registered Representative, Miami Beach, Florida)  has been barred from association with any FINRA member in any capacity. This FINRA sanction was based on their findings that Enrique Roy failed to respond to requests from FINRA for information about an outside brokerage account at a member firm he had opened on a customer’s […]

  Corey Lamar Battey (CRD #4123425, Registered Representative, Clermont, Florida) was fined $5,000 and has ben suspended from association with any FINRA member in any capacity for six months. This fine will be due and payable if and when Battey re-enters the securities industry. These sanctions were based on FINRA's findings that Battey failed to respond to […]

The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Sean Donald Premock (CRD #3175558, Registered Representative, Fort Lauderdale, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Premock […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Paul Cragg Larsen (CRD #1066833, Registered Representative, Naples, Florida) and   Quentin Marius Silic (CRD #4222363, Registered Representative, Naples, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which they were each barred from association with any FINRA member in […]