Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2020
According to FINRA Disciplinary actions for January 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:
| NAME | FORMER EMPLOYERS |
| Bressman, Michael | FCG Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Dannenberg, Stephanie | |
| Dineen, Mary Ann | UBS Financial Services Inc. |
| Fagenson, David | Newbridge Securities Corp |
| UBS Financial Services Inc. | |
| Figueroa, Mark | Spartan Capital Securities, LLC |
| Arive Capital Markets | |
| Freeman, Michael | Spartan Capital Securities |
| Legend Securities, Inc | |
| Kopatz, Karen | Raymond James & Associates, Inc |
| Morgan Keegan & Company, Inc | |
| Morgan, Gregory | Allstate Financial Services, LLC |
| ProEquities, Inc | |
| Rayner, Wesley | Santander Securities LLC |
| JP Morgan Securities | |
| Rodriquez, Jordan | NYLife Securities LLC |
| Spyrka, Michael | Hold Brothers Capital |
| Stow, Frederick | Raymond James & Associates |
| Wells Fargo Advisors, LLC | |
| Taylor, Dennis | Taylor Capital Mgmt |
| Independent Financial Group | |
| Tarner, Cynthia | |
| Wetherell, Mark | Kovack Securities Inc |
| Invest Financial Corportion | |
| Wilk, Jason | Worden Capital Mgmt |
| Craft Capital Mgmt | |
| Wright, Marcus | Farmers Financial Solutions, LLC |
| JP Morgan Securities LLC |
Broker Charles Dorraine (
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