{"id":10410,"date":"2022-01-24T16:53:03","date_gmt":"2022-01-24T21:53:03","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10410"},"modified":"2022-01-24T16:53:03","modified_gmt":"2022-01-24T21:53:03","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-january-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-january-2022\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2022, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 John Boatright<\/td>\n\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Summit Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Keri Fazio<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Austin Fox<\/td>\n\u00a0 Cetera Investment Services LLC<\/td>\n<\/tr>\n
\u00a0 Corecap Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Melissa Gilcrease<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Jan Haynes<\/td>\n\u00a0 Integrity Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Centaurus Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Bethany Hewett<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Marcus Moon<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Lisa Robinson<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Diane Simmons<\/td>\n\u00a0 Horace Mann Investors, Inc.<\/td>\n<\/tr>\n
\u00a0 Jordan Whitacre<\/td>\n\u00a0 Arkadios Capital<\/td>\n<\/tr>\n
\u00a0 Triad Advisors, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for January 2022, 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-10410","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of FINRA Rules January 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2022, 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\" 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