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

Ayrton Pierce Haddad (CRD #6125741) Naples, Florida

FINRA Case #2016051413301

Following Haddad’s voluntary resignation from E*Trade in August 2016 he admitted signing a customer’s name to an account transfer from and initialing a change on the account transfer from without the customer’s knowledge or consent, contrary to firm procedures.  While the customer authorized the transfer the form lacked one of the signatures necessary to process the transfer and, rather than returning the document to the customer to sign, the employee signed the customer’s name on the documents to expedite the process.  The customer has since signed the form, and was not harmed as a result of the employee’s actions.

Michael Jason Ripper (CRD #6059694) Memphis, Tennessee

FINRA Case #2015048052801

Ripper was discharged from LPL Financial LLC in October 2015 due to violations of the Firm’s documents signature policy and concerns regarding Unit Investment Trust sales practices.

Bimal Kishore Shah (CRD #2685812) Boca Raton, Florida

FINRA Case #2015046882401

Shah was discharged from Sterne Agee Financial Service, Inc in December 2015 due to violations of firm policy in regards to outside business activity.

If you feel you have been misled or taken advantage by any Broker and wish to discuss legal action, please contact Darren Blum at 1-877-786-2552 (1-877-STOCK LAW), www.stockattorneys.com for a free consultation.