{"id":11194,"date":"2023-10-25T15:36:39","date_gmt":"2023-10-25T19:36:39","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11194"},"modified":"2023-10-25T15:36:39","modified_gmt":"2023-10-25T19:36:39","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-september-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-september-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Thomas Cole III<\/td>\n\u00a0 Charles Schwab & Co, Inc.<\/td>\n<\/tr>\n
\u00a0 Charles Connors<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Andrew Grezlak<\/td>\n\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Louis No<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chanda Park<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Heron Rattray Jr.<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Merrill Richardson<\/td>\n\u00a0 Goldman Sachs & Co. LLC<\/td>\n<\/tr>\n
\u00a0 William Blair & Company LLC<\/td>\n<\/tr>\n
\u00a0 William Rodriguez<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jessica Wade<\/td>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for September 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-11194","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations September 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 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-september-2023\/\" 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