JASON NELSON Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) barred LPL Financial LLC securities broker Jason Nelson (CRD#: 4824535, Tremonton, Utah). Evidently, Nelson submitted a Letter of Acceptance, Waiver and Consent (“AWC”) on May 30, 2019, which FINRA accepted on June 6, 2019.  Notably, FINRA says that Nelson violated FINRA Rules by refusing […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Joseph Edward Conti (CRD #1230968, Registered Principal, Lantana, Florida) was barred from association with any FINRA member in any principal capacity and suspended from association with any FINRA member in any capacity for three months. Because of Conti’s financial status, […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Robert Joseph Eanell (CRD #2802778, Registered Representative, St. Petersburg, Florida) fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Eanell consented to the described sanctions and […]