Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d)

May 1, 2020
Jennifer Marie Pendley (CRD #7147968)
Tucson, Arizona
FINRA Case #2019064082901

May 28, 2020
Conrad Aaron Coggeshall (CRD #4383687)
Phoenix, Arizona
FINRA Case #2019064840801

March 2, 2020
Robert Joseph Cacioppo (CRD #6205736)
Surprise, Arizona
FINRA Case #2019064813201

May 30, 2019
Daniel Edward Bingham (CRD #4175758)
Scottsdale, Arizona
FINRA Case #2018058157401

November 13, 2018
Brandon Lee Hamm (CRD #6466507)
Surprise, Arizona
FINRA Case #2018059440901

November 5, 2018
Wayne Frederick Stutzer (CRD #1040006)
Phoenix, Arizona
FINRA Case #2018059300001

August 27, 2018
Scott Halbert Newbanks (CRD #1216623)
Lake Havasu City, AZ
FINRA Case #2017055770101

August 13, 2018
Francisco Javier Valenzuela (CRD #2786970)
Tucson, Arizona
FINRA Case #2018057266701

August 10, 2018
Joshua Dean Krize (CRD #5295965)
Mesa, Arizona
FINRA Case #2018058263701

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Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator who oversees the people and firms that sell stocks, bonds, mutual funds and other securities to the public in the United States. They are authorized by Congress to protect investors. They do this by making sure the securities industry operates fairly and honestly with the public.