FINRA Suspends Registered Individuals For Violations Of FINRA Rules February 2023
According to FINRA Disciplinary actions for February 2023, 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 |
William Casper | J.P. Morgan Securities LLC |
Kevin Chiu | J.P. Morgan Securities LLC |
Albert Foronda | Spartan Capital Securities, LLC |
Worden Capital Management LLC | |
Edward McMahon | Alexander Capital, L.P. |
J.P Turner & Company, LLC | |
Mark Miranda | Spartan Capital Securities, LLVC |
Network 1 Financial Securities Inc | |
Patrick Thayer | LPL Financial LLC |
Parkland Securities, LLC | |
Brian Wurdemann | RBC Capital Markets, LLC |
UBS Financial Services Inc. |