{"id":11302,"date":"2024-01-05T13:01:51","date_gmt":"2024-01-05T18:01:51","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11302"},"modified":"2024-01-05T13:01:51","modified_gmt":"2024-01-05T18:01:51","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2023\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Michael Capolongo<\/a><\/td>\n\u00a0 Network 1 Financial Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Michael Fasciglione<\/a><\/td>\n\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Isaiah Frection<\/a><\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Johnathan Hagood<\/a><\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Lynch<\/a><\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 John Rabulan<\/a><\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Dennis Riordan<\/a><\/td>\n\u00a0 Wynston Hill Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Aeon Capital Inc<\/td>\n<\/tr>\n
\u00a0 Adriano Schultz<\/a><\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Brittny Stagnitto<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Anthony Vadino<\/a><\/td>\n\u00a0 Equitable Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial 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 December 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-11302","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations December 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2023, the following were suspended and cannot currently work for a brokerage firm 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\" 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