Richard Gomez (CRD #4727721, Jackson Heights, New York) April 30, 2018 – A National Adjudicatory Council (NAC) decision became final in which Gomez was barred from association with any FINRA member in all capacities. The NAC modified the sanctions and findings...
Kristen L. Lewis (CRD #6577989, Marshall, Michigan) April 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lewis was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Lewis...
Dallas Richardson York (CRD #6449560, Phoenix, Arizona) April 16, 2018 – An Offer of Settlement was issued in which York was barred from association with any FINRA member in all capacities. Without admitting or denying the allegations, York consented to the...
Steven Pagartanis (CRD #1958879, Setauket, New York) April 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Pagartanis was barred from association with any FINRA member in all capacities. Without admitting or denying the findings,...
Ron Jason Ison (CRD #2897782, Manalapan, New Jersey) April 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Ison was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ison...
Tyler Harris (CRD #5860060, Elkins Park, Pennsylvania) April 12, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Harris was barred from association with any FINRA member in all capacities. Without admitting or denying the findings,...
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