{"id":11616,"date":"2024-12-31T10:53:30","date_gmt":"2024-12-31T15:53:30","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11616"},"modified":"2024-12-31T10:53:30","modified_gmt":"2024-12-31T15:53:30","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2024\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2024"},"content":{"rendered":"<p>According to FINRA Disciplinary actions for December 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\">Yiu Yeung<\/td>\n<td width=\"366\">Pacific Century Securities, LLC<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Michael Banks<\/td>\n<td width=\"366\">Morgan Stanley<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Joscelyn Cockburn<\/td>\n<td width=\"366\">Innovation Partners LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">FSC Securities Corporation<\/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\">Peter Lawrence<\/td>\n<td width=\"366\">American Portfolios Financial Services, Inc.<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">Questar Capital Corporation<\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Emma McAuley<\/td>\n<td width=\"366\">Edward Jones<\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Marques Mcleon<\/td>\n<td width=\"366\">NYLIfe Securities LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Jennifer Nelson<\/td>\n<td width=\"366\">Edward Jones<\/td>\n<\/tr>\n<tr>\n<td width=\"319\">Robert Ornelas<\/td>\n<td width=\"366\">Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Edgar Shanoyan<\/td>\n<td width=\"366\">Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">Purshe Kaplan Sterling Investments<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"319\">Robert Thomas<\/td>\n<td width=\"366\">IBN Financial Services, Inc.<\/td>\n<\/tr>\n<tr>\n<td width=\"366\">Avantax Investment Services, Inc.<\/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-december-2024\/#more-11616\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>According to FINRA Disciplinary actions for December 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-11616","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 Rules Violations December 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2024, the following individuals 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\" 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