{"id":10412,"date":"2022-01-24T17:01:27","date_gmt":"2022-01-24T22:01:27","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10412"},"modified":"2022-01-24T17:01:27","modified_gmt":"2022-01-24T22:01:27","slug":"finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-january-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-january-2022\/","title":{"rendered":"FINRA Bars Stockbrokers For Failing To Provide FINRA With Information January 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2022, 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\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Arely Alvarez<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bradley Holts<\/td>\n\u00a0 World Capital Brokerage, Inc.<\/td>\n<\/tr>\n
\u00a0 Supreme Alliance LLC<\/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 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 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 Stacie Orr<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Ryan Ott<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Andre Senegal<\/td>\n\u00a0 OneAmerica Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kyle Stevens<\/td>\n\u00a0 SECU Brokerage Services<\/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 January 2022, 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 Arely Alvarez \u00a0 Merrill Lynch, Pierce, Fenner […]<\/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-10412","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 January 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2022, the following individuals were barred for failing to provide 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