{"id":10893,"date":"2022-12-01T10:52:12","date_gmt":"2022-12-01T15:52:12","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10893"},"modified":"2022-12-01T10:52:12","modified_gmt":"2022-12-01T15:52:12","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2022\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for November 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Michael Botrous<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jaylon Briggs<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Johnnie Brown<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Courtney Donella-Sheley<\/td>\n\u00a0 Voya Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 ING Financial Advisers, LLC<\/td>\n<\/tr>\n
\u00a0 Austin Dutton Jr.<\/td>\n\u00a0 American Trust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Primex<\/td>\n<\/tr>\n
\u00a0 Ciara Haro<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Monica Laguna<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Yasmine Mercado<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Cory Tinsley<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Khalil Watts<\/td>\n\u00a0 J.P. Morgan Securities 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 November 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-10893","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Individuals For Violations November 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2022\/\" \/>\n<meta name=\"twitter:card\" 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