{"id":11626,"date":"2025-01-22T11:21:37","date_gmt":"2025-01-22T16:21:37","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11626"},"modified":"2025-01-22T11:21:37","modified_gmt":"2025-01-22T16:21:37","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-january-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-january-2025\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2025"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2025, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Iam Aguilar<\/a><\/td>\nFidelity Brokerage Services LLC<\/td>\n<\/tr>\n
Eunice Carreira<\/td>\n<\/td>\n<\/tr>\n
Juan Garcia<\/td>\nJ.P. Morgan Securities LLC<\/td>\n<\/tr>\n
Wyman Sai<\/a><\/td>\nJ.P. Morgan Securities LLC<\/td>\n<\/tr>\n
Joseph Seidler<\/a><\/td>\nRBC Capital Markets, LLC<\/td>\n<\/tr>\n
Wells Fargo Clearing Services Inc.<\/td>\n<\/tr>\n
James Turpin<\/a><\/td>\nUSA Financial Securities Corporation<\/td>\n<\/tr>\n
United Planners\u2019 Financial Services of America A Limited Partner<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for January 2025, 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-11626","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules January 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2025, the following were suspended and cannot work for a brokerage firm for failing to provide information.\" \/>\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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