Where an individual does not have a BrokerCheck record, a record of the bar can be found in the summary in the FINRA Monthly Disciplinary Action Report. For more complete information, please consult BrokerCheck. Individuals who have been barred by FINRA as a result of a disciplinary decision or expedited proceeding will not appear on this list until the decision becomes a final FINRA action and the time period provided for an appeal permitted under the Exchange Act has expired. announced that Brett Crabtree has joined the banks Asset Based Lending division as. This list includes individuals who were barred by FINRA as of August 31, 2022. Texas Capital Bank Names Cummings as Chief Administrative Officer. Where indicated, individuals on this list have appealed FINRA's final action to the SEC or, in the case of a final order of the SEC sustaining FINRA's action, to the courts thus, the findings and sanctions of FINRA in those instances are subject to review and modification by the SEC or the courts. The list comprises individuals who were associated with a FINRA registered firm on or after FINRA launched Web CRD on August 16, 1999. Executive Leadership Texas Capital Bank Our Leadership Team Beyond demonstrating a consistent commitment to our clients, our executive leadership brings a breadth of experience to our team that helps drive collaboration and trust while strengthening the relationships that drive success for our clients. The individuals listed below have a FINRA bar in effect, which means FINRA has permanently prohibited them from association with any member in any capacity. Prior to joining in 2015, James was Vice President and Head of Origination at Southfield Capital, and a member of the Investment Banking Division at Barclays.
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