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2025086279401 David Kitchen Franklin CRD 5236215 AWC vr (2025-1763684398376).pdf
On September 19, 2025, Franklin refused to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
2022073415002 Barclays Capital Inc. CRD 19714 AWC ks (2025-1763684398369).pdf
In July 2021, Barclays served as an underwriter for an initial public offering in which it had a conflict of interest, but a qualified independent underwriter (QlU) did not participate in the preparation of the registration statement and prospectus and exercise the usual standards of due diligence. As a result, the firm violated FINRA Rules 5121 and 2010.
2023080632301 Brandon V. Spano CRD 4601257 AWC lp (2025-1763684398761).pdf
Between March 2020 and May 2023, while associated with Equitable Advisors, Spano
engaged in an outside business activity involving acquiring real estate without providing
written notice to his firm. As a result, he violated FINRA Rules 3270 and 2010. For this
conduct, Spano is suspended in all capacities for three months and fined $5,000.
Regulatory Notice 25-14
Summary
FINRA's Renewal Program facilitates the collection and disbursement of fees for broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting, and notice filings with participating self-regulatory organizations (SROs) and jurisdictions. The program operates through two key statements: