{"id":11020,"date":"2023-05-04T16:58:03","date_gmt":"2023-05-04T20:58:03","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11020"},"modified":"2023-05-04T16:58:03","modified_gmt":"2023-05-04T20:58:03","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Austin Kiick<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Isaac LaFond<\/td>\n\u00a0 Patrick Capital Markets, LLC<\/td>\n<\/tr>\n
\u00a0 IFP Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Steve Moise<\/td>\n\u00a0 Joseph Stone Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 David Morris<\/td>\n\u00a0 Stifel, Nicolaus & Company, Incorporated<\/td>\n<\/tr>\n
\u00a0 UBS Financial Sevices 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 April 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-11020","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals April 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2023, the following were suspended and cannot work for a brokerage firm for failing to provide information.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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