According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in September, a number of brokers and/or investment advisers were reported in that month as barred from associating with FINRA firms. The following individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying the alleged underlying conduct. For more information about each sanction, visit FINRA’s disciplinary actions for September 2017.

Name Current/Former Employers
Dale Christian Russell Sr. Merrill Lynch
James M. Hursty Citizens Securities
Dick P. Wollman Horace Mann Investors
Anthony Vincent Ferrone Ameriprise Financial Services
Kim Dee Isaacson Ameriprise Financial Services
Kenneth Lee Jones Aegis Capital Corporation
Jason Michael Belajack Lincoln Financial Advisors Corporation
Peter J. Doyle H. Beck
Russell William Newton Source Capital Group
John Kenneth Lawrence Glover Citizens Securities
Roger Salvatore Zullo LPL Financial