FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2024
According to FINRA Disciplinary actions for April 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
NAME | FORMER EMPLOYERS |
James Brown | American Independent Securities Group, LLC |
Edward Jones | |
Victor Droubie jr. | LPL Financial LLC |
Wells Fargo Clearing Services, LLC | |
Chun Elmejjad | Equitable Advisors, LLC |
AXA Advisors, LLC | |
Jonathan Gervaise | Jackson National Life Distributors LLC |
Pruco Securities, LLC | |
Jonathan Long | Cambridge Investment Research, Inc. |
Cetera Financial Specialists LLC | |
Thomas Prieur | Lincoln Financial Advisors Corporation |
The Lincoln National Life Insurance Company | |
Ronald Wells II | Northwestern Mutual Investment Services, LLC |