{"id":10176,"date":"2021-09-22T11:30:38","date_gmt":"2021-09-22T15:30:38","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10176"},"modified":"2021-09-22T11:30:38","modified_gmt":"2021-09-22T15:30:38","slug":"finra-suspends-individuals-for-violations-of-rules-august-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-for-violations-of-rules-august-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Matthew Berman<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Thomas Bonik<\/td>\n\u00a0 NTB Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Linsco\/Private Ledger Corp.<\/td>\n<\/tr>\n
\u00a0 James Clements<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Daniel Della Rosa<\/td>\n\u00a0 Corinthian Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Paulson Investment Company LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Engbrecht<\/td>\n\u00a0 Horace Mann Investors, Inc.<\/td>\n<\/tr>\n
\u00a0 Micah Judy<\/td>\n\u00a0 W&S Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Lionel Scott<\/td>\n\u00a0 Arive Capital Markets<\/td>\n<\/tr>\n
\u00a0 Cape Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Ricardo Uliambre<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney LLC<\/td>\n<\/tr>\n
\u00a0 Paul Vizanko<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for August 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-10176","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules August 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for August 2021, the following were suspended and 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-for-violations-of-rules-august-2021\/\" \/>\n<meta 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