{"id":10432,"date":"2022-02-22T16:58:05","date_gmt":"2022-02-22T21:58:05","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10432"},"modified":"2022-02-22T16:58:05","modified_gmt":"2022-02-22T21:58:05","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-february-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-february-2022\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules February 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 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\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Antonio Bestard<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Kevin Burckhard<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Robert W. Baird & Co. Incorporated<\/td>\n<\/tr>\n
\u00a0 Odalis Duran<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Travis Eiland<\/td>\n\u00a0 HD Vest Investment Services<\/td>\n<\/tr>\n
\u00a0 Jeremy Fortner<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Thomas Hagan<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Forrest Jones<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Fortune Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Evan Jordan<\/td>\n\u00a0 J.P Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Marc Korsch<\/td>\n\u00a0 Arkadios Capital<\/td>\n<\/tr>\n
\u00a0 Centaurus Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Jun Ouyang<\/td>\n\u00a0 Morgan Stanley & Co. LLC<\/td>\n<\/tr>\n
\u00a0 Bryan Richey<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Dennis Riordan<\/td>\n\u00a0 Aeon Capital Inc.<\/td>\n<\/tr>\n
\u00a0 Rothschild Lieberman LLC<\/td>\n<\/tr>\n
\u00a0 Ebony Staples<\/td>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for February 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-10432","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules February 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2022, the following individuals were suspended and cannot 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\" 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