FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2024
According to FINRA Disciplinary actions for September 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 |
Akshita Bhatia | |
Juan Gauna | NYLife Securities LLC |
Peter Girgis | SW Financial |
Worden Capital Management LLC | |
Timothy Jefferson | Aegis Capital Corp. |
Ameriprise Financial Services, LLC | |
Barak Rebibo | J.P. Morgan Securities LLC |
Courtney Smith | Spire Securities, LLC |
Hightower Securities, LLC |