{"id":11650,"date":"2025-03-24T17:04:06","date_gmt":"2025-03-24T21:04:06","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11650"},"modified":"2025-03-24T17:04:06","modified_gmt":"2025-03-24T21:04:06","slug":"finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-march-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-march-2025\/","title":{"rendered":"FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2025"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 2025, the following individuals were barred 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:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Yiu Yeung<\/a><\/td>\nPacific Century Securities, LLC<\/td>\n<\/tr>\n
Michael Banks<\/a><\/td>\nMorgan Stanley<\/td>\n<\/tr>\n
Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
Juan Gomez<\/td>\n<\/td>\n<\/tr>\n
Eunice Carreira<\/td>\n<\/td>\n<\/tr>\n
Joscelyn Cockburn<\/a><\/td>\nInnovation Partners LLC<\/td>\n<\/tr>\n
FSC Securities Corporation<\/td>\n<\/tr>\n
Janelle English<\/td>\n<\/td>\n<\/tr>\n
Juan Chavez<\/a><\/td>\nJ.P. Morgan Securities LLC<\/td>\n<\/tr>\n
Sara Jankowski<\/a><\/td>\nStifel, Nicolaus & Company, Incorporated<\/td>\n<\/tr>\n
City Securities Corporation<\/td>\n<\/tr>\n
David Love<\/td>\nLaSalle St Securities, LLC<\/td>\n<\/tr>\n
ICMA-RC Services, LLC<\/td>\n<\/tr>\n
James Marrero<\/td>\nAmerican Portfolios Financial Services, Inc.<\/td>\n<\/tr>\n
BCG Securities, Inc.<\/td>\n<\/tr>\n
Emma McAuley<\/td>\nEdward Jones<\/td>\n<\/tr>\n
Marques Mcleon<\/td>\nNYLife Securities LLC<\/td>\n<\/tr>\n
Jennifer Nelson<\/td>\nEdward Jones<\/td>\n<\/tr>\n
Robert Ornelas<\/a><\/td>\nNorthwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
Luis Castanon<\/td>\nJ.P. Morgan Securities LLC<\/td>\n<\/tr>\n
Michael Russo<\/td>\nSpartan Capital Securities, LLC<\/td>\n<\/tr>\n
Craft Capital Management LLC<\/td>\n<\/tr>\n
Edgar Shanoyan<\/td>\nMerrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
Purshe Kaplan Sterling Investments<\/td>\n<\/tr>\n
Robert Thomas<\/td>\nIBN Financial Services, Inc.<\/td>\n<\/tr>\n
Avantax Investment Services, Inc.<\/td>\n<\/tr>\n
James Turpin<\/td>\nUSA Financial Services 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 March 2025, the following individuals were barred 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: NAME FORMER EMPLOYERS Yiu Yeung Pacific Century Securities, LLC Michael Banks […]<\/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-11650","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Bars Brokers For Failing To Provide Information March 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2025, the following were barred and cannot currently work for a brokerage firm 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