![]() ![]() Individuals who have been barred by FINRA as a result of a disciplinary decision or expedited proceeding will not appear on this list until the decision becomes a final FINRA action and the time period provided for an appeal permitted under the Exchange Act has expired. ![]() This list includes individuals who were barred by FINRA as of January 31, 2023. Where indicated, individuals on this list have appealed FINRA's final action to the SEC or, in the case of a final order of the SEC sustaining FINRA's action, to the courts thus, the findings and sanctions of FINRA in those instances are subject to review and modification by the SEC or the courts. The list comprises individuals who were associated with a FINRA registered firm on or after FINRA launched Web CRD on August 16, 1999. ![]() The individuals listed below have a FINRA bar in effect, which means FINRA has permanently prohibited them from association with any member in any capacity. ![]()
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