{"id":10030,"date":"2021-05-28T13:12:07","date_gmt":"2021-05-28T17:12:07","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10030"},"modified":"2021-05-28T13:12:07","modified_gmt":"2021-05-28T17:12:07","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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 Adam Belardino<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 MSI Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Trent Drake<\/td>\n\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Pacer Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Nathaniel Eklund<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Geneos Wealth Management, Inc.<\/td>\n<\/tr>\n
\u00a0 Idean Esfahani<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Adam Feierstein<\/td>\n\u00a0 Proequities, Inc.<\/td>\n<\/tr>\n
\u00a0 Woodbury Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ngonidzashe Parirenyatwa<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Planco Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Laquita Pettis<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 George Stills Jr.<\/td>\n\u00a0 Securian Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Tim Viohl<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for April 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":[577,580],"tags":[],"class_list":["post-10030","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of FINRA Rules April 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2021, the following individuals were suspendedand cannot currently work for a brokerage firm.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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