{"id":11531,"date":"2024-10-23T11:59:23","date_gmt":"2024-10-23T15:59:23","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11531"},"modified":"2024-10-23T11:59:23","modified_gmt":"2024-10-23T15:59:23","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-october-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-october-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2024"},"content":{"rendered":"<p>According to FINRA Disciplinary actions for October 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<table border=\"x\" width=\"685\">\n<tbody>\n<tr>\n<td width=\"319\"><strong>NAME<\/strong><\/td>\n<td width=\"366\"><strong>FORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Iam Aguilar<\/td>\n<td width=\"366\">Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Luke Brooks<\/td>\n<td width=\"366\">U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Glenn Colangelo<\/td>\n<td width=\"366\">American Independent Securities Group, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">The O.N. Equity Sales Company<\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Luis Jean-Bart<\/td>\n<td width=\"366\">PFS Investments Inc.<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Matthew Kagan<\/td>\n<td width=\"366\">Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Joseph Seidler<\/td>\n<td width=\"366\">RBC Capital Markets, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<p> <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-october-2024\/#more-11531\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>According to FINRA Disciplinary actions for October 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 [&hellip;]<\/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-11531","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Suspends Individuals For Rules Violations October 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2024, the following were suspended and 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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