{"id":10961,"date":"2023-02-28T10:11:17","date_gmt":"2023-02-28T15:11:17","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10961"},"modified":"2023-02-28T10:11:45","modified_gmt":"2023-02-28T15:11:45","slug":"finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023\/","title":{"rendered":"FINRA Bars Stockbrokers For Failing To Provide FINRA With Information February 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 2023, the following individuals were barred 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:<\/p>\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 Trusdt 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 John Fabiano<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Wealth Enhancement Advisory Services<\/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 Securities LLVC<\/td>\n<\/tr>\n
\u00a0 Jason Long<\/td>\n\u00a0 State Farm VP Management Corp.<\/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<\/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 barred 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: NAME FORMER EMPLOYERS \u00a0 Albert Aviles \u00a0 Reid & Rudiger LLC […]<\/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-10961","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Bars Brokers For Failing To Provide Information February 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2023, the following were barred 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-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Brokers For Failing To Provide Information February 2023\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for February 2023, the following were barred and cannot currently work for a brokerage firm.\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Brokers For Failing To Provide Information February 2023","description":"According to FINRA Disciplinary actions for February 2023, the following were barred and cannot currently work for a brokerage firm.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Brokers For Failing To Provide Information February 2023","twitter_description":"According to FINRA Disciplinary actions for February 2023, the following were barred and cannot currently work for a brokerage firm.","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023\/","name":"FINRA Bars Brokers For Failing To Provide Information February 2023","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2023-02-28T15:11:17+00:00","dateModified":"2023-02-28T15:11:45+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for February 2023, the following were barred and cannot currently work for a brokerage firm.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-february-2023\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Stockbrokers For Failing To Provide FINRA With Information February 2023"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10961","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=10961"}],"version-history":[{"count":2,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10961\/revisions"}],"predecessor-version":[{"id":10963,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10961\/revisions\/10963"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=10961"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=10961"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=10961"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}