FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2020
According to FINRA Disciplinary actions for June 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 |
Joanna Abdelhadi | Wells Fargo Clearing Services, LLC |
Credit Suisse Securities LLC | |
Kenneth Butschek | ProEquities, Inc. |
Securities Management & Research, Inc. | |
Nathaniel Clay | Laidlaw & Company (UK) Ltd |
National Securities Corporation | |
Alan Lau | Wells Fargo Clearing Services, LLC |
Wells Fargo Investments, LLC | |
Scott Levine | Craft Capital Management LLC |
PHX Financial, Inc. | |
Stefano Listella | J.P. Morgan Securities LLC |
Great Point Capital, LLC | |
Stanley Martin | Allstate Financial Services, LLC |
H&R Block Financial Advisors, Inc. | |
Scott Mason | Voya Financial Advisors, Inc. |
LPL Financial LLC | |
Jon Scheier | Edward Jones |
Scott Snelling | Kestra Investment Services, LLC |
National Planning Corporation | |
Elizabeth Sollars | Allstate Financial Services, LLC |
Marc Winters | Wedbush Securities Inc. |
UBS Financial Services Inc. |