Andrew James DeVine (CRD #5048058, O’Fallon, Illinois) was barred by FINRA for allegedly misappropriating $739 from clients of his member firm’s insurance affiliate by taking funds intended to pay insurance premiums and instead using the funds for his own personal benefit. (FINRA Case #2013038128101) Andrew James DeVine was registered in the securities industry for 7 […]

James Francis Reid (CRD #2197427 Cypress, Texas) was barred by FINRA for allegedly converting client funds for his own personal use by depositing cash and check insurance premiums, totaling more than $21,000, from clients of his member firm’s insurance affiliate into his personal checking account instead of applying the funds for the clients’ benefit. FINRA's […]

Scott Dee Barker (CRD #4754577, Layton, Utah) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information in connection with an investigation into whether he misused insurance premiums for business and/or office expenses. (FINRA Case #2014041073701) FINRA has permanently barred Scott Dee Barker from acting as a broker or otherwise associating with […]