FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2024
According to FINRA Disciplinary actions for March 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 |
Kwame Adusei | Morgan Stanley |
J.P. Morgan Securities LLC | |
Brittany Anderson | |
Gianluca De Berardinis | Morgan Stanley |
Quad Capital, LLC | |
Brian Hall | |
Monu Joseph | Rosenblatt Securities Inc. |
CIBC World Markets Corp. | |
Sylviah Kemunto | |
Sebastian Puznowski | Equitable Advisors, LLC |
AXA Advisors LLC | |
Carlos Ramirez | Citizens Securities, Inc. |
Key Investment Services LLC | |
Shaquane Smith-Thompson | J.P. Morgan Securities LLC |
Quintosha Thomas |