FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2024
According to FINRA Disciplinary actions for January 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 |
Gabriela Alfaro | Charles Schwab &Co., Inc. |
Vinessa Christian | UBS Financial Services Inc. |
RBC Dain Raucher Inc. | |
Denzel Coleman | J.P. Morgan Securities LLC |
Wells Fargo Clearing Services, LLC | |
Stalin Cruz | SW Financial |
Windsor Street Capital, L.P. | |
Richard Goldston | Edwared Jones |