FINRA Disciplinary Actions November 2019 Name Suspended Brokers

According to FINRA Disciplinary actions for November 2019, 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
Ajayi, Emmanuel	JP Morgan Securites LLC
Ajayi, Emmanuel	HSBC Securities (USA) Inc
Arts, Christopher	Scarsdale Equities LLC
Arts, Christopher	Leeb Brokerage Services
Bennett, Jamie	Silber Bennett Financial Inc
Bennett, Jamie	Silver Portal Capital LLC
Bishop, Tywan	Charles Schwab & Co
Bishop, Tywan	E Trade Securities
Borja, Mauricio	Allstate Financial Services
Encino, Stephen	NY Life Securities
Freeman, Michael	Spartan Capital Securities
Freeman, Michael	Legend Securities
Fries, Scott	Transamerica Financial Advisors, Inc
Fries, Scott	NYLife Securities
Mannera, Samuel	Wells Fargo Clearing Serivces
Mannera, Samuel	Merrill Lynch, Pierce, Fenner and Smith Inc
Navarre, Michael	Farmers Financial Solutions, LLC
Navarre, Michael	NY Life Securities LLC
Oplinger, Todd	IFS Securities
Oplinger, Todd	Ridgeway & Conger
Persaud, Karishma (Susy)
Rangel, Jesse	TD Ameritrade
Rangel, Jesse	Morgan Stanley
Ricker, Gregory	Westpark Capital, Inc
Ricker, Gregory	National Securities Corp
Thrush, Steven	Summitt Brokerage Services, Inc
Thrush, Steven	Cambridge Investment Research, Inc
Washington, Robert

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