April Twelve brokers and/or investment advisers were reported as suspended from association with Financial Industry Regulatory Authority member firms in April 2018, according to FINRA’s list of disciplinary actions issued this month. These individuals, listed below, have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to the sanctions, without admitting to or denying the alleged underlying conduct. Their suspensions may affect association in a principal capacity, other capacities, or all capacities. Certain sanctions may have been lifted before or since FINRA’s report was released, and the enumerated below may not account for the full monetary penalties paid; some representatives may have been ordered to pay restitution and/or disgorgement as well. Visit FINRA’s disciplinary action records for more information.

Name Current/Former Employers Length of Suspension Fines paid
Ian Blane Meierdiercks SA Stone Wealth Management 10 days $7,500.00
Mark Brian Degner Ameriprise Financial Services 20 days $7,500.00
Guy Charles Conger Money Concepts Capital Corporation 6 months $15,000.00
Thomas Francis Niles Janney Montgomery Scott 3 months $5,000.00
Hector Hugo Gutierrez Jr. Wells Fargo Advisors 9 months $5,000.00
Caroline Faye Korn Pinnacle Investments 4 months $7,300.00
Gary Michael Strange Cambridge Investment Research 2 years $20,000.00
Heather Xanthe VanLandingham SunTrust Investment Services 20 days $5,000.00
Ricky Mills Higgins First Heartland Capital 3 months $5,000.00
Jodie Ann LaMarre Janney Montgomery Scott 1 year $10,000.00
Phillip Andrew Johnson DH Hill Securities 3 months $5,000.00
Daniel Brian Stern M Holdings Securities 6 months $50,000.00