{"id":10345,"date":"2021-12-27T12:38:45","date_gmt":"2021-12-27T17:38:45","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10345"},"modified":"2021-12-27T12:38:45","modified_gmt":"2021-12-27T17:38:45","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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\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 Joshua Baker<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Kameise Bickham<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Anthony Bookman<\/td>\n\u00a0 Seaport Global Securities LLC<\/td>\n<\/tr>\n
\u00a0 Pickwick Capital Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Bernard Chevalier<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Michael Dorband<\/td>\n\u00a0 Berthel, Fisher & Company Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Ian Ha<\/td>\n\u00a0 Infinity Financial Services<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Gregory Hanshew<\/td>\n\u00a0 Infinity Financial Services<\/td>\n<\/tr>\n
\u00a0 CIM Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Jordan John<\/td>\n\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Frank Mathis<\/td>\n\u00a0 Fidelity Brokerage Services LLCV<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Ronald Molo<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Christopher Ogbuehi<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Robert Paterson<\/td>\n\u00a0 Truist Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 BB&T Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Noe Ramirez III<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner && Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Nathaniel Robinson<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Bobby Sullins<\/td>\n\u00a0 BB&T Securities, LLC<\/td>\n<\/tr>\n
\u00a0 BB&T Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Herbert Weith IV<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for December 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-10345","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules December 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 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-registered-individuals-for-violations-of-finra-rules-december-2021\/\" 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