{"id":11188,"date":"2023-10-25T11:05:15","date_gmt":"2023-10-25T15:05:15","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11188"},"modified":"2023-10-25T11:05:15","modified_gmt":"2023-10-25T15:05:15","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-august-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-august-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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 Davd Burch<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Timothy Claypool<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Ebony Parks<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Rashawn Russell<\/td>\n\u00a0 Deutsche Bank Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Daniel Santos<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Solomon<\/td>\n\u00a0 Maxim Group LLC<\/td>\n<\/tr>\n
\u00a0 HFP Capital Markets LLC<\/td>\n<\/tr>\n
\u00a0 Bertram Unger<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Shane Wilhelm<\/td>\n\u00a0 Fortune Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Truist Investment Services, 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 August 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-11188","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules August 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for August 2023, the following were suspended and 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-august-2023\/\" \/>\n<meta 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