{"id":10186,"date":"2021-09-22T15:47:31","date_gmt":"2021-09-22T19:47:31","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10186"},"modified":"2022-07-11T09:29:36","modified_gmt":"2022-07-11T13:29:36","slug":"finra-suspends-individuals-for-violations-of-rules-september-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-for-violations-of-rules-september-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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 Ryan Burneo<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Jamila Fields<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 William Friedman<\/td>\n\u00a0 Pinnacle Investments, LLC<\/td>\n<\/tr>\n
\u00a0 Woodstock Financial Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Paul Furusho<\/td>\n\u00a0 APW Capital, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Charles Lopez<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Toni Marshall<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Tarek Mohamed<\/td>\n\u00a0 Bankers Life Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Vincent Pepe<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Tara Pierce<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Investment Centers of America Inc.<\/td>\n<\/tr>\n
\u00a0 Rachel Rodriguez<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kezia Simeon<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Tara Supron<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Alex Taylor<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Isaac Yamoah<\/td>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for September 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-10186","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules September 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 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-september-2021\/\" \/>\n<meta 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