{"id":10041,"date":"2021-05-28T16:27:50","date_gmt":"2021-05-28T20:27:50","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10041"},"modified":"2021-05-28T16:27:50","modified_gmt":"2021-05-28T20:27:50","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Samantha Beasley<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Annie Boghossian<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Lawrence Ehren<\/td>\n\u00a0 Landolt Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Oberweis Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Goonan<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 Eileen Kenny<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Private Advisor Group, LLC<\/td>\n<\/tr>\n
\u00a0 Norma Kuklis<\/td>\n<\/td>\n<\/tr>\n
\u00a0 William Kursim<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 National Financial Services LLC<\/td>\n<\/tr>\n
\u00a0 John Margain<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Hector Mejia<\/td>\n\u00a0 ADP Broker-Dealer, Inc.<\/td>\n<\/tr>\n
\u00a0 Curtis Smiley<\/td>\n\u00a0 Primex<\/td>\n<\/tr>\n
\u00a0 Sandlapper Securities, LLC<\/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
\u00a0 Joseph Switzer Sr.<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Joseph Valenti<\/td>\n\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Reid & Rudiger 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 May 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-10041","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 May 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2021, the following individuals were suspended and cannot 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2021\/\" 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