{"id":11017,"date":"2023-04-14T14:30:57","date_gmt":"2023-04-14T18:30:57","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11017"},"modified":"2023-04-14T14:30:57","modified_gmt":"2023-04-14T18:30:57","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Chrisopher Arnold<\/td>\n\u00a0 USCA Securities LLC<\/td>\n<\/tr>\n
\u00a0 Salient Capital L.P.<\/td>\n<\/tr>\n
\u00a0 Blaine Hamlett<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Adrian London<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 E*Trade Securities LLC<\/td>\n<\/tr>\n
\u00a0 Yvonne Nguyen<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Robert Rich<\/td>\n\u00a0 Wells Fargo Advisors Financial Network, LLC<\/td>\n<\/tr>\n
\u00a0 Wachovia Securities, 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
\u00a0 Kenneth Wade<\/td>\n\u00a0 Cetera Advisor Networks LLC<\/td>\n<\/tr>\n
\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Khalil Watts<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Willliam Williford<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for March 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-11017","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules March 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2023, 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-march-2023\/\" 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