{"id":11523,"date":"2024-10-02T11:39:07","date_gmt":"2024-10-02T15:39:07","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11523"},"modified":"2024-10-02T11:39:07","modified_gmt":"2024-10-02T15:39:07","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-september-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-september-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2024"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Akshita Bhatia<\/td>\n<\/td>\n<\/tr>\n
Juan Gauna<\/a><\/td>\nNYLife Securities LLC<\/td>\n<\/tr>\n
Peter Girgis<\/a><\/td>\nSW Financial<\/td>\n<\/tr>\n
Worden Capital Management LLC<\/td>\n<\/tr>\n
Timothy Jefferson<\/a><\/td>\nAegis Capital Corp.<\/td>\n<\/tr>\n
Ameriprise Financial Services, LLC<\/td>\n<\/tr>\n
Barak Rebibo<\/a><\/td>\nJ.P. Morgan Securities LLC<\/td>\n<\/tr>\n
Courtney Smith<\/a><\/td>\nSpire Securities, LLC<\/td>\n<\/tr>\n
Hightower Securities, 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 September 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-11523","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals For Violations Of Rules September 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2024, the following were suspendedand cannot currently 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\" 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