{"id":10188,"date":"2021-09-22T15:53:52","date_gmt":"2021-09-22T19:53:52","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10188"},"modified":"2021-09-22T15:53:52","modified_gmt":"2021-09-22T19:53:52","slug":"finra-bars-brokers-for-failing-to-provide-information-september-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-brokers-for-failing-to-provide-information-september-2021\/","title":{"rendered":"FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 2021, the following individuals were barred 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:<\/p>\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 Corproation<\/td>\n<\/tr>\n
\u00a0 Amanda Berry<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael Bramlett<\/td>\n\u00a0 Country 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 Christy McWilliams<\/td>\n\u00a0 Jackson National Life Distributors LLC<\/td>\n<\/tr>\n
\u00a0 Kevin Nevin<\/td>\n\u00a0 Dempsey 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 J.P. Morgan Securities LLC<\/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\u00a0 Jonathan Ward<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

FINRA<\/a> makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.<\/p>\n

FINRA Rule 8210 allows FINRA\u2019s enforcement attorneys the authority to investigate matters under its regulatory purview. FINRA Rule 8210 requires a stockbroker or other registered person of the request to provide documents or information \u201cwith respect to any matter in [an] investigation, complaint, examination or proceeding.\u201d<\/em><\/p>\n

The subject matter of a FINRA investigation or inquiry can include almost anything relating to the brokerage industry or the financial advisor\u2019s activities.\u00a0 FINRA regulatory rules allow for broad authority to investigate violations of FINRA\u2019s rules and regulations including, Rule 2010 (a FINRA member \u201cshall observe high standards of commercial honor and just and equitable principles of trade\u201d<\/em>). Under Rule 2010 FINRA can seek any documents or other information that FINRA believes is relevant to its inquiry.\u00a0 In 2013, FINRA announced in a regulatory notice that the scope of Rule 8210 had been clarified, stating that \u201call aspects of the relationship between a broker-dealer and its associated persons are potentially the subject of a Rule 8210 request.\u201d <\/em><\/p>\n

Securities Arbitration Claims Against Barred Brokers <\/strong><\/h3>\n

Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and\/or their brokerage firms.\u00a0 Financial Advisors who have engaged in misconduct or otherwise violated FINRA rules or regulations frequently surrender their license rather than cooperate in a FINRA investigation. In the past, FINRA has barred brokers from the industry for participating in Ponzi schemes, elder financial fraud, breach of fiduciary duty, and other misconduct. While a bar from the securities industry can be a powerful piece of evidence for investors pursuing FINRA arbitration claims against their advisors and\/or their brokerage firms, investors should work with experienced securities and investment fraud attorneys to help maximize their recovery.<\/p>\n

FINRA arbitration is separate and distinct from FINRA\u2019s regulatory obligations. In our experience, FINRA regulatory focuses on punishing the wrongdoers but rarely results in compensation for the victims. For investors who have been defrauded by a financial advisor or others, FINRA arbitration is frequently the best place to secure a recover for losses.<\/p>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct<\/a>. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.<\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for September 2021, the following individuals were barred 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: NAME FORMER EMPLOYERS \u00a0 John Barrett \u00a0 Emerson Equity LLC \u00a0 […]<\/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-10188","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Bars Brokers For Failing To Provide Information September 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2021, the following were barred from and cannot work for a brokerage 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