{"id":11711,"date":"2025-09-19T16:30:56","date_gmt":"2025-09-19T20:30:56","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11711"},"modified":"2025-09-19T16:33:30","modified_gmt":"2025-09-19T20:33:30","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2025-2","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2025-2\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2025"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Anthony Richard Bottini III<\/a><\/td>\nMerrill Lynch<\/td>\n<\/tr>\n
JEU Emmanuel Delgado Lopez<\/a><\/td>\nPFS Investments Inc.<\/td>\n<\/tr>\n
Jerome Oliver Harris<\/a><\/td>\nFarmers Financial Solutions LLC<\/td>\n<\/tr>\n
Thomas Christopher Johnson<\/a><\/td>\nNYLife Securities LLC<\/td>\n<\/tr>\n
Amanda E Kriss<\/a><\/td>\nJ.P. Morgan Securities<\/td>\n<\/tr>\n
Chase Investment Services Corp<\/td>\n<\/tr>\n
Michael Oakley Thomas<\/a><\/td>\nThrivent Investment Management<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for April 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":[580],"tags":[],"class_list":["post-11711","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Rules Violations April 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2025, 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-april-2025-2\/\" \/>\n<meta name=\"twitter:card\" 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