{"id":11079,"date":"2023-06-16T12:54:29","date_gmt":"2023-06-16T16:54:29","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11079"},"modified":"2023-06-16T12:54:29","modified_gmt":"2023-06-16T16:54:29","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Michael Cutrone<\/td>\n\u00a0 Neuberger Berman BD LLC<\/td>\n<\/tr>\n
\u00a0 Ronald Diaz<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Mulan Greenway<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Joshua Lovings<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Josette Santos<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Harold Stephenson<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Herrmann Securities, 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 May 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-11079","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals May 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 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-may-2023\/\" \/>\n<meta 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