{"id":10809,"date":"2022-09-22T13:00:58","date_gmt":"2022-09-22T17:00:58","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10809"},"modified":"2023-10-25T10:31:25","modified_gmt":"2023-10-25T14:31:25","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-september-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-september-2022\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Chad Barancyk<\/td>\n\u00a0 Great Point Capital LLC<\/td>\n<\/tr>\n
\u00a0 First Allied Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Aren Blackwood<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Richard Carman<\/td>\n\u00a0 Ameriprise Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Austin Dutton Jr.<\/td>\n\u00a0 American Trust Investments Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Primex<\/td>\n<\/tr>\n
<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Beth Landwehr<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ebony Parks<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Firasat Siddiqui<\/td>\n\u00a0 Ameriprise Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Alexandra Smith<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for September 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-10809","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals September 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 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-september-2022\/\" \/>\n<meta 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