Ronald Joseph Sagasser (also known as Ron Sagasser), of Miamisburg, Ohio, a stockbroker registered with W&S Brokerage Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Sagasser failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Letter of…
Michael Burton Ohlemacher of Maumee, Ohio, a stockbroker formerly registered with WS Brokerage Services Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ohlemacher engaged in outside business activities during the time that he was associated with WS Brokerage Services….
Ronald Scott Daley of West Chester Ohio a stockbroker formerly registered with WS Brokerage Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he did not comply with the regulator’s investigation into allegations of his misuse of customer funds during the time…
Mark S. Prokay of New Castle, Pennsylvania, a registered representative with W&S Brokerage Services, Inc. and affiliated with Western Southern Life, was permanently barred from association with any Financial Industry Regulatory Authority (FINRA) member firm in any and all capacities after consenting to findings that he failed to cooperate with a FINRA investigation into allegations…