{"id":10528,"date":"2022-04-04T11:10:22","date_gmt":"2022-04-04T15:10:22","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10528"},"modified":"2022-04-04T11:10:22","modified_gmt":"2022-04-04T15:10:22","slug":"broker-narith-long-barred-after-unauthorized-securities-transactions","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/","title":{"rendered":"Broker Narith Long Barred After Unauthorized Securities Transactions"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10529 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long.png\" alt=\"Narith Long (CRD# 6598152) is a previously registered broker whose last known employer was NY Life Securities LLC (CRD#:5167) of Glendale, CA. He was previously employed with Northwestern Mutual Investment Services, LLC (CRD#:2881) of Long Beach, CA, where he began his career in the industry in 2018.  New York Life Securities terminated Long\u2019s employment on December 1st, 2020. The company terminated him for engaging in unauthorized securities transactions. This activity included recommending to his customers that they open brokerage accounts with a separate, non-affiliated firm. Once the clients opened these brokerage accounts, Long went in using their login information and traded securities that were held in these non-firm accounts.  FINRA requested information from Long, which he failed to provide. Therefore, FINRA issued notices of Suspension and Suspension from Association letters on September 1st, 2021, and September 27, 2021. Long then failed to request termination of his suspension within three months of the. Notice of Suspension. As of December 6th, 2021, Narith Long is now permanently barred from any association with FINRA members in all capacities.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Narith Long (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6598152\" target=\"_blank\">6598152<\/a>) is a previously registered broker whose last known employer was NY Life Securities LLC (CRD#:5167) of Glendale, CA. He was previously employed with Northwestern Mutual Investment Services, LLC (CRD#:2881) of Long Beach, CA, where he began his career in the industry in 2018. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/#more-10528\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Narith Long (CRD# 6598152) is a previously registered broker whose last known employer was NY Life Securities LLC (CRD#:5167) of Glendale, CA. He was previously employed with Northwestern Mutual Investment Services, LLC (CRD#:2881) of Long Beach, CA, where he began his career in the industry in 2018. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580,581],"tags":[],"class_list":["post-10528","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct","category-unauthorized-trading"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Narith Long Barred After Unauthorized Securities Transactions &#8212;<\/title>\n<meta name=\"description\" content=\"Narith Long is a previously registered broker whose last known employer was NY Life Securities LLC of Glendale, CA.\" \/>\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\/broker-narith-long-barred-after-unauthorized-securities-transactions\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker Narith Long Barred After Unauthorized Securities Transactions &#8212;\" \/>\n<meta name=\"twitter:description\" content=\"Narith Long is a previously registered broker whose last known employer was NY Life Securities LLC of Glendale, CA.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Broker Narith Long Barred After Unauthorized Securities Transactions &#8212;","description":"Narith Long is a previously registered broker whose last known employer was NY Life Securities LLC of Glendale, CA.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/","twitter_card":"summary_large_image","twitter_title":"Broker Narith Long Barred After Unauthorized Securities Transactions &#8212;","twitter_description":"Narith Long is a previously registered broker whose last known employer was NY Life Securities LLC of Glendale, CA.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Broker Narith Long Barred After Unauthorized Securities Transactions","datePublished":"2022-04-04T15:10:22+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/"},"wordCount":506,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long.png","articleSection":["Stockbroker Misconduct","Unauthorized Trading"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/","url":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/","name":"Broker Narith Long Barred After Unauthorized Securities Transactions &#8212;","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long.png","datePublished":"2022-04-04T15:10:22+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Narith Long is a previously registered broker whose last known employer was NY Life Securities LLC of Glendale, CA.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long.png","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Narith-Long.png","width":300,"height":200},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/broker-narith-long-barred-after-unauthorized-securities-transactions\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Broker Narith Long Barred After Unauthorized Securities Transactions"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10528","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=10528"}],"version-history":[{"count":2,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10528\/revisions"}],"predecessor-version":[{"id":10531,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10528\/revisions\/10531"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=10528"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=10528"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=10528"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}