Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2020
According to FINRA Disciplinary actions for August 2020, 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 |
| Ignacio Del Campo | Epic Capital Securities |
| Insigneo Securities, LLC | |
| Marvin Egorin | Wedbush Securities Inc. |
| Wells Fargo Clearing Services, LLC | |
| Frank Grant IV | |
| Stefano Listella | J.P. Morgan Securities LLC |
| Great Point Capital LLC | |
| Jonathan Malone | Wells Fargo Clearing Services, LLC |
| Brill Securities, Inc. | |
| Evan Nadelman | Aegis Capital Corp. |
| Forefront Capital Markets LLC | |
| Jon Scheier | Edward Jones |
| Andrew Slocum | Charles Schwab & Co. Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Elizabeth Sollars | Allstate Financial Services, LLC |
| Junior Tonkam | PFS Investments Inc. |
| Ricardo Turlan | UBS Financial Services Inc. |
| BBVA Securities Inc. |
James McKinney is a barred broker who was last registered with Cetera Advisors in Tulsa, Oklahoma. McKinney’s record shows that in 2019 he was barred from associating with a FINRA member firm after he failed to comply with FINRA requests for information. Customer disputes on McKinney’s record allege misrepresentation, breach of fiduciary duty, and negligence. 
James Kennedy is a barred broker who last worked for Woodbury Financial Services, Inc. in Madison, Mississippi. Woodbury permitted Kennedy to resign for allegedly engaging in unapproved outside business activity with clients. He was barred by FINRA for failing to fully cooperate with their investigation.
Steven Rodemer is a barred broker last registered with Stifel, Nicholas & Company, Incorporated in Pueblo, Colorado. Rodemer’s record shows that he was barred in all capacities from associating with a FINRA member firm for refusing to cooperate with a FINRA investigation. In January, 2020, Rodemer was discharged from Stifel, Nicholas over an allegation that he made an unauthorized withdrawal from a client’ account. 
Felix Chu (Felix S Chu