{"id":11385,"date":"2024-06-07T09:19:13","date_gmt":"2024-06-07T13:19:13","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11385"},"modified":"2024-06-07T09:19:13","modified_gmt":"2024-06-07T13:19:13","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2024"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Ian Geeves<\/a><\/td>\n\u00a0 Vanderbilt Securities, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Ned Seitler<\/a><\/td>\n\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Neuberger Berman Management Inc.<\/td>\n<\/tr>\n
\u00a0 Timothy Sullivan<\/a><\/td>\n\u00a0 International Assets Advisory, LLC<\/td>\n<\/tr>\n
\u00a0 SII Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Kirkland Wilson<\/a><\/td>\n\u00a0 Cetera Advisor Networks LLC<\/td>\n<\/tr>\n
\u00a0 Securian Financial Services, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for May 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-11385","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations May 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2024, 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-may-2024\/\" \/>\n<meta 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