{"id":11350,"date":"2024-04-19T16:34:17","date_gmt":"2024-04-19T20:34:17","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11350"},"modified":"2024-05-08T10:51:17","modified_gmt":"2024-05-08T14:51:17","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2024"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 2024, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Kwame Adusei<\/a><\/td>\nMorgan Stanley<\/td>\n<\/tr>\n
J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
Brittany Anderson<\/td>\n<\/td>\n<\/tr>\n
Gianluca De Berardinis<\/a><\/td>\nMorgan Stanley<\/td>\n<\/tr>\n
Quad Capital, LLC<\/td>\n<\/tr>\n
Brian Hall<\/td>\n<\/td>\n<\/tr>\n
Monu Joseph<\/a><\/td>\nRosenblatt Securities Inc.<\/td>\n<\/tr>\n
CIBC World Markets Corp.<\/td>\n<\/tr>\n
Sylviah Kemunto<\/td>\n<\/td>\n<\/tr>\n
Sebastian Puznowski<\/a><\/td>\nEquitable Advisors, LLC<\/td>\n<\/tr>\n
AXA Advisors LLC<\/td>\n<\/tr>\n
Carlos Ramirez<\/a><\/td>\nCitizens Securities, Inc.<\/td>\n<\/tr>\n
Key Investment Services LLC<\/td>\n<\/tr>\n
Shaquane Smith-Thompson<\/a><\/td>\nJ.P. Morgan Securities LLC<\/td>\n<\/tr>\n
Quintosha Thomas<\/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 March 2024, 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-11350","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations March 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA actions for March 2024, the following were suspended and cannot 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2024\/\" 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