{"id":10174,"date":"2021-09-22T10:58:50","date_gmt":"2021-09-22T14:58:50","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10174"},"modified":"2021-09-22T10:58:50","modified_gmt":"2021-09-22T14:58:50","slug":"finra-suspends-registered-individuals-for-violations-of-rules-july-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-rules-july-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules July 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 John Barrett<\/td>\n\u00a0 Emerson Equity LLC<\/td>\n<\/tr>\n
\u00a0 Lincoln Financial Advisors<\/td>\n<\/tr>\n
\u00a0 Michael Bramlett<\/td>\n\u00a0 County Capital Management Company<\/td>\n<\/tr>\n
\u00a0 Christopher Fisher<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Berhane Kassahun<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 MSI Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Charles Lopez<\/td>\n\u00a0 Bank of America, N.A.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Kajie McMullen<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Christy McWilliams<\/td>\n\u00a0 Jackson National Life Distributors LLC<\/td>\n<\/tr>\n
\u00a0 Kevin Nevin<\/td>\n\u00a0 Demsey Lord Smith, LLC<\/td>\n<\/tr>\n
\u00a0 Sandlapper Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Antoine Rogers<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Alfredo Vazquez<\/td>\n\u00a0 Cuso Financial Services, L.P.<\/td>\n<\/tr>\n
\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 David Villarreal III<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Jonathan Ward<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for July 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-10174","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals For Violations Of Rules July 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 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-rules-july-2021\/\" 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