{"id":10959,"date":"2023-02-28T09:46:15","date_gmt":"2023-02-28T14:46:15","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10959"},"modified":"2023-02-28T09:46:15","modified_gmt":"2023-02-28T14:46:15","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-february-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-february-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules February 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 2023, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 William Casper<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kevin Chiu<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Albert Foronda<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Edward McMahon<\/td>\n\u00a0 Alexander Capital, L.P.<\/td>\n<\/tr>\n
\u00a0 J.P Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Mark Miranda<\/td>\n\u00a0 Spartan Capital Securities, LLVC<\/td>\n<\/tr>\n
\u00a0 Network 1 Financial Securities Inc<\/td>\n<\/tr>\n
\u00a0 Patrick Thayer<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Parkland Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Brian Wurdemann<\/td>\n\u00a0 RBC Capital Markets, LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for February 2023, 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-10959","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations February 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2023, 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-february-2023\/\" 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