{"id":10319,"date":"2021-12-06T12:58:37","date_gmt":"2021-12-06T17:58:37","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10319"},"modified":"2021-12-06T12:58:37","modified_gmt":"2021-12-06T17:58:37","slug":"finra-suspends-individuals-for-violations-of-rules-november-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-for-violations-of-rules-november-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for November 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Jeremy Bahls<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Ikea Huggins<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jason Kai<\/td>\n\u00a0 Vanguard Marketing Corporation<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 James Kent Jr.<\/td>\n\u00a0 Emerson Equity LLC<\/td>\n<\/tr>\n
\u00a0 Newport Coast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Ahmad Khalil<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Nicholas Kraiko<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Princor Financial Services Corporation<\/td>\n<\/tr>\n
\u00a0 Narith Long<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Reynold Neufeld<\/td>\n\u00a0 Centaurus Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Juanita O\u2019Neal<\/td>\n\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Scarlett Ramsey<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Timothy Williams<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for November 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],"tags":[],"class_list":["post-10319","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules November 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2021, the following were suspended for failing to provide information requested.\" \/>\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-november-2021\/\" \/>\n<meta name=\"twitter:card\" 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