{"id":11507,"date":"2024-09-05T11:43:54","date_gmt":"2024-09-05T15:43:54","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11507"},"modified":"2024-09-05T11:43:54","modified_gmt":"2024-09-05T15:43:54","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-august-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-august-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2024"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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
\u00a0 Fanar Almosleh<\/a><\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Zev Bishop<\/a><\/td>\n\u00a0 Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Nicholas Camp<\/a><\/td>\n\u00a0 Bank of America, N.A.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Jessica Cottee<\/a><\/td>\n\u00a0 Valic Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 Samuel Girgiss<\/a><\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Vanessa Hendrickson<\/a><\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Mariah Nagy<\/a><\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Zayed Regalado<\/a><\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Jeffery Sanders<\/a><\/td>\n\u00a0 Woodmen Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Daniel Turner<\/a><\/td>\n\u00a0 Vanguard Marketing Corporation<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for August 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-11507","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules August 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for August 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-august-2024\/\" \/>\n<meta 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