{"id":11111,"date":"2023-08-04T11:13:01","date_gmt":"2023-08-04T15:13:01","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11111"},"modified":"2023-08-04T11:13:01","modified_gmt":"2023-08-04T15:13:01","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-july-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-july-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules July 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Michael Adinovich<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/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 Karla Moons<\/td>\n\u00a0 Concourse Financial Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Amsouth Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Kyle Steibel<\/td>\n\u00a0 CUNA Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Joseph Todaro<\/td>\n\u00a0 Network 1 Financial Securities Inc.<\/td>\n<\/tr>\n
\u00a0 SW Financial<\/td>\n<\/tr>\n
\u00a0 Jin Zhu<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Key Investment Services 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 July 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":[588,580],"tags":[],"class_list":["post-11111","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules July 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 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-july-2023\/\" \/>\n<meta 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