{"id":10625,"date":"2022-05-02T16:51:11","date_gmt":"2022-05-02T20:51:11","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10625"},"modified":"2022-05-02T16:51:11","modified_gmt":"2022-05-02T20:51:11","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2022\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Kyleigh Haynes<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Grant Hebeisen<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Carl Ippolito<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Eagleview Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jaime Quintero<\/td>\n\u00a0 American Independent Securities Group, LLC<\/td>\n<\/tr>\n
\u00a0 AFA Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 J-waun Smiley<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Albert Tejada<\/td>\n\u00a0 Northwestern Mutual Investment 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 April 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-10625","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals For Violations Of Rules April 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2022, the following were suspended and cannot currently 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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