{"id":10781,"date":"2022-08-19T10:33:52","date_gmt":"2022-08-19T14:33:52","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10781"},"modified":"2022-08-19T10:33:52","modified_gmt":"2022-08-19T14:33:52","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-aug-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-aug-2022\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Aug 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for Aug 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 Roger Arnold<\/td>\n\u00a0PFS Investments Inc<\/td>\n<\/tr>\n
\u00a0 Jimmy Cheng<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Eddy Chou<\/td>\n\u00a0 Ameriprise Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Kara Gagnon<\/td>\n\u00a0 Global Atlanticv Distributors, LLC<\/td>\n<\/tr>\n
\u00a0 MetLife Investors Distribution Company<\/td>\n<\/tr>\n
\u00a0 Johana Jimenez<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Igor Kislitsa<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher McFadden<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 John Molskness<\/td>\n\u00a0 Valic Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 New England Securities<\/td>\n<\/tr>\n
\u00a0 Thomas Pfeiffer<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Emily Pich<\/td>\n\u00a0 Key Investment Services LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Cari Spicer<\/td>\n\u00a0 Cavu Securities LLC<\/td>\n<\/tr>\n
\u00a0 Triton Pacific Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Derick Strickland<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Khalil Watts<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chiu Wu<\/td>\n\u00a0 Ameriprise Financial Services, 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 Aug 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-10781","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 Aug 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for Aug 2022, the following 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-aug-2022\/\" \/>\n<meta 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