{"id":10024,"date":"2021-05-28T09:56:12","date_gmt":"2021-05-28T13:56:12","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10024"},"modified":"2021-05-28T09:56:12","modified_gmt":"2021-05-28T13:56:12","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 2021, 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:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Ryan Callahan<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 James Carpenter II<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 James Childress<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Householder Group Financial Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Justyn Euan<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Nayely Gamez<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Igor Kislitsa<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Hector Mejia<\/td>\n\u00a0 ADP Broker-Dealer, Inc.<\/td>\n<\/tr>\n
\u00a0 Yonay Perez<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Jorge Pica<\/td>\n\u00a0 Suntrust Robinson Humphrey, Inc.<\/td>\n<\/tr>\n
\u00a0 Stephens Inc.<\/td>\n<\/tr>\n
\u00a0 Rodney Repko<\/td>\n\u00a0 Lincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
\u00a0 Valic Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Swenson<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Piper Jaffray & Co.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for March 2021, 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 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577],"tags":[],"class_list":["post-10024","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of FINRA Rules March 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2021, the following individuals were suspended and cannot currently work for a FINRA brokerage firm.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2021\/\" \/>\n<meta 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