Securities Arbitration Lawyers Blog
FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2022
According to FINRA Disciplinary actions for November 2022, 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 |
| Michael Botrous | |
| Jaylon Briggs | |
| Johnnie Brown | PFS Investments Inc. |
| Courtney Donella-Sheley | Voya Financial Advisors, Inc. |
| ING Financial Advisers, LLC | |
| Austin Dutton Jr. | American Trust Investment Services, Inc. |
| Primex | |
| Ciara Haro | |
| Monica Laguna | J.P. Morgan Securities LLC |
| Yasmine Mercado | |
| Cory Tinsley | Farmers Financial Solutions, LLC |
| AXA Advisors, LLC | |
| Khalil Watts | J.P. Morgan Securities LLC |
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