{"id":11581,"date":"2024-11-20T11:42:31","date_gmt":"2024-11-20T16:42:31","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11581"},"modified":"2024-11-20T11:42:31","modified_gmt":"2024-11-20T16:42:31","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2024"},"content":{"rendered":"<p>According to FINRA Disciplinary actions for November 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\">Juan Gomez<\/td>\n<td width=\"366\"><\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">James Easter<\/td>\n<td width=\"366\">Independent Financial Group, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">NPB Financial Group, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Janelle English<\/td>\n<td width=\"366\"><\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Sara Jankowski<\/td>\n<td width=\"366\">Stifel, Nicolaus &amp; Company, Incorporated<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">City Securities Corporation<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">David Love<\/td>\n<td width=\"366\">LaSalle St Securities, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">ICMA-RC Services, LLC<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">James Marrero<\/td>\n<td width=\"366\">American Portfolios Financial Services, Inc.<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">BCG Securities, Inc.<\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Luis Castanon<\/td>\n<td width=\"366\">J.P. Morgan Securities LLC<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Michael Russo<\/td>\n<td width=\"366\">Spartan Capital Securities, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">Craft Capital Management 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-november-2024\/#more-11581\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>According to FINRA Disciplinary actions for November 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-11581","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 v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Suspends Individuals For Violations Rules November 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA &#8212; November 20, 2024\" \/>\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-november-2024\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Individuals For Violations Rules November 2024\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for November 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA &#8212; 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November 20, 2024","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2024\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2024\/","name":"FINRA Suspends Individuals For Violations Rules November 2024","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2024-11-20T16:42:31+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for November 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA &#8212; November 20, 2024","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2024\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2024\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-november-2024\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2024"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11581","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=11581"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11581\/revisions"}],"predecessor-version":[{"id":11582,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11581\/revisions\/11582"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=11581"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=11581"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=11581"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}