{"id":11358,"date":"2024-04-22T16:15:47","date_gmt":"2024-04-22T20:15:47","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11358"},"modified":"2024-05-07T16:31:49","modified_gmt":"2024-05-07T20:31:49","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2024"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
James Brown<\/a><\/td>\nAmerican Independent Securities Group, LLC<\/td>\n<\/tr>\n
Edward Jones<\/td>\n<\/tr>\n
Victor Droubie jr.<\/a><\/td>\nLPL Financial LLC<\/td>\n<\/tr>\n
Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
Chun Elmejjad<\/a><\/td>\nEquitable Advisors, LLC<\/td>\n<\/tr>\n
AXA Advisors, LLC<\/td>\n<\/tr>\n
Jonathan Gervaise<\/a><\/td>\nJackson National Life Distributors LLC<\/td>\n<\/tr>\n
Pruco Securities, LLC<\/td>\n<\/tr>\n
Jonathan Long<\/a><\/td>\nCambridge Investment Research, Inc.<\/td>\n<\/tr>\n
Cetera Financial Specialists LLC<\/td>\n<\/tr>\n
Thomas Prieur<\/a><\/td>\nLincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
The Lincoln National Life Insurance Company<\/td>\n<\/tr>\n
Ronald Wells II<\/a><\/td>\nNorthwestern Mutual Investment Services, 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 April 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":[577,580],"tags":[],"class_list":["post-11358","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations April 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 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\" 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