{"id":10622,"date":"2022-04-28T11:39:19","date_gmt":"2022-04-28T15:39:19","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10622"},"modified":"2022-07-11T09:27:46","modified_gmt":"2022-07-11T13:27:46","slug":"finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-march-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-march-2022\/","title":{"rendered":"FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Kameise Bickham<\/td>\n<\/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 Bethany Hewett<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Ronald Molo<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Marcus Moon<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Robert Paterson<\/td>\n\u00a0 Truist Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 BB&T Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Lisa Robinson<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Nathaniel Robinson<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Herbert Weith IV<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/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 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 Kameise Bickham \u00a0 John Boatright \u00a0 Newbridge […]<\/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-10622","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Stockbrokers For Failing To Provide Information March 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2022, the following individuals were barred and cannot currently work for a brokerage firm.\" \/>\n<meta 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