{"id":11296,"date":"2023-12-27T12:32:52","date_gmt":"2023-12-27T17:32:52","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11296"},"modified":"2023-12-27T12:32:52","modified_gmt":"2023-12-27T17:32:52","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for November 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 David Funes<\/td>\n\u00a0 Realized Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Wealthforge Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Sebastian Puznowski<\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Richard Webb<\/td>\n\u00a0 Park Avenue Securities 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 November 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-11296","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations November 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2023, the following 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-november-2023\/\" \/>\n<meta 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