FINRA Disciplinary Actions

The Financial Industry Regulatory Authority (FINRA) has barred South Florida broker Rezwan Alam (CRD #5349513) from the securities industry after he failed to cooperate with a regulatory investigation. According to FINRA records, Alam—who worked in Palm Beach, Delray Beach, and Boca Raton, Florida—had a 14-year career as a broker and investment advisor, during which he

The Financial Industry Regulatory Authority (FINRA) has permanently barred broker Mohammed A. Salim (CRD #7126671) from associating with any FINRA member firm after allegations surfaced that he improperly transferred funds from a client’s account to cover his personal debts. At the time of the alleged misconduct, Salim was employed by Morgan Stanley in Deer Park,

The Financial Industry Regulatory Authority (FINRA) has barred Red Bank, New Jersey broker and investment advisor John Girgis (CRD #5021526) after he refused to cooperate with an investigation into his outside business activities and trading practices involving customer accounts. Girgis, who has 19 years of industry experience, was most recently registered as a broker with

The Financial Industry Regulatory Authority (FINRA) has suspended George Cairnes (CRD #4068906), a former Wells Fargo broker based in Houston, Texas, for engaging in an undisclosed outside business activity involving real estate transactions with a firm client. According to FINRA’s disciplinary findings, Cairnes allegedly partnered with a Wells Fargo customer to identify, purchase, manage, and

The Financial Industry Regulatory Authority (FINRA) has suspended former Morgan Stanley broker C.J. Kline (CRD#: 4362678) for two years and fined him $5,000 after finding that he initiated more than $180,000 in improper fund transfers between his personal and brokerage accounts. According to FINRA’s settlement findings, between August 2023 and April 2024, Kline repeatedly transferred