{"id":10908,"date":"2022-12-30T10:14:37","date_gmt":"2022-12-30T15:14:37","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10908"},"modified":"2022-12-30T10:14:37","modified_gmt":"2022-12-30T15:14:37","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2022\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Albert Aviles<\/td>\n\u00a0 Reid & Rudiger LLC<\/td>\n<\/tr>\n
\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Ruth Chambers<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Mutual Trust Co. of America Securities<\/td>\n<\/tr>\n
\u00a0 Seymour Cohen<\/td>\n\u00a0 Wilmington Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Clark Dodge & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Anthony DiLullo<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 ING Financial Partners, Inc.<\/td>\n<\/tr>\n
\u00a0 John Fabiano<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 JD Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Samuel Heavrin<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Austin Lazarus<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Secvurities LLC<\/td>\n<\/tr>\n
\u00a0 Jason Long<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Pamelia Owensby<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/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 December 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-10908","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations December 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2022, the following individuals 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-december-2022\/\" 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