{"id":11200,"date":"2023-10-26T11:35:56","date_gmt":"2023-10-26T15:35:56","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11200"},"modified":"2023-10-26T11:35:56","modified_gmt":"2023-10-26T15:35:56","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-october-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-october-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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 Daniel Ditch<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Stephen Jones<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Robert Luley Jr.<\/td>\n\u00a0 Pruco Securities LLC<\/td>\n<\/tr>\n
\u00a0 Madison Avenue Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Jack McBride<\/td>\n\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 B. Riley Wealth Management<\/td>\n<\/tr>\n
\u00a0 Hector Negrete<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Shawn O\u2019Connell<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce ,Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Steven Thompson<\/td>\n\u00a0 Network 1 Financial Securities Inc.<\/td>\n<\/tr>\n
\u00a0 SW Financial<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for October 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-11200","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals Rules Violations October 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2023, the following were suspended and cannot work for a brokerage firm for failing to provide info.\" \/>\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-october-2023\/\" 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