Regulators Suspend Thrivent Broker Robert William Ward Robert William Ward (CRD#: 4324025, Eagan, Minnesota) has been a registered representative of Thrivent Investment Management, Inc. since May 19, 2015. The Financial Industry Regulatory Authority (“FINRA”) has suspended Ward in all capacities from associating with FINRA broker-dealers, and fined him $7,500.00 according to a Letter of Acceptance, […]

Wells Fargo’s Francisco Ortiz Suspended For Falsifying Wire Request Francisco Jose Ortiz (CRD #4677135, Miami, Florida), who was a registered representative of Wells Fargo Advisors, LLC between June 5, 2013 and June 16, 2015, was required by the Financial Industry Regulatory Authority (“FINRA”) to pay a $5,000.00 fine and suspend acting as a broker or […]

MetLife’s Kelly Barnett Sanctioned For Trading Without Authorization Kelly Marvin Barnett (CRD #4127608, Sarasota, Florida), who was a registered representative of MSI Financial Services from August 27, 2012 until being discharged on November 19, 2015, has consented to paying a $15,000.00 fine and being suspended by the Financial Industry Regulatory Authority (“FINRA”) from acting as a […]