{"id":10620,"date":"2022-04-28T11:28:20","date_gmt":"2022-04-28T15:28:20","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10620"},"modified":"2022-04-28T11:28:20","modified_gmt":"2022-04-28T15:28:20","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2022\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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 Maria Acevedo<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Alicia Chester<\/td>\n\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Anthony DiDonna<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 David Hixon<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 ProEquities, Inc.<\/td>\n<\/tr>\n
\u00a0 James Kent Jr.<\/td>\n\u00a0 Emerson Equity LLC<\/td>\n<\/tr>\n
\u00a0 Newport Coast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Scott Levine<\/td>\n\u00a0 Ascendiant Capital Markets, LLC<\/td>\n<\/tr>\n
\u00a0 BMA Securities<\/td>\n<\/tr>\n
\u00a0 Mario Martinez<\/td>\n\u00a0 Mutual of Omaha Investors Services, Inc.<\/td>\n<\/tr>\n
\u00a0 AIG Capital Services, Inc.<\/td>\n<\/tr>\n
\u00a0 John Sommo<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Stephen Wenske<\/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 March 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],"tags":[],"class_list":["post-10620","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of FINRA Rules March 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2022\/\" \/>\n<meta name=\"twitter:card\" 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