{"id":11652,"date":"2025-03-25T15:34:17","date_gmt":"2025-03-25T19:34:17","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11652"},"modified":"2025-03-25T15:34:17","modified_gmt":"2025-03-25T19:34:17","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-march-2025\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2025"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Mark Brosa<\/a><\/td>\nAmeriprise Financial Services, LLC<\/td>\n<\/tr>\n
Edward Jones<\/td>\n<\/tr>\n
Ryan Clayton<\/a><\/td>\nMerrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
First Citizens Investor Services, Inc.<\/td>\n<\/tr>\n
Christopher Hale<\/td>\n<\/td>\n<\/tr>\n
Cassandra Heitz<\/a><\/td>\nLPL Financial LLC<\/td>\n<\/tr>\n
Investment Centers of America, Inc.<\/td>\n<\/tr>\n
Desmond James-Jones<\/a><\/td>\nEquitable Advisors, LLC<\/td>\n<\/tr>\n
AXA Advisors<\/td>\n<\/tr>\n
Peter Lawrence<\/a><\/td>\nAmerican Portfolios Financial Services, Inc.<\/td>\n<\/tr>\n
Questaer Capital Corporation<\/td>\n<\/tr>\n
Gustavo Miramontes<\/a><\/td>\nOppenheimer & Co. Inc.<\/td>\n<\/tr>\n
Wedbush Securities Inc.<\/td>\n<\/tr>\n
Ryan Taleghani<\/a><\/td>\nMorgan Stanley<\/td>\n<\/tr>\n
Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
Vanessa Webber<\/td>\n<\/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 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-11652","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules March 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2025, the following individuals 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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