{"id":11800,"date":"2025-12-02T10:39:56","date_gmt":"2025-12-02T15:39:56","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11800"},"modified":"2025-12-02T10:39:56","modified_gmt":"2025-12-02T15:39:56","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-november-2025","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-failure-to-provide-information-november-2025\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules Failure to provide Information November 2025"},"content":{"rendered":"

According to FINRA Disciplinary actions for November 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
Lauren Elizabeth Durand<\/td>\n<\/td>\n<\/tr>\n
Federico Gonzalez<\/a><\/td>\nOppenheimer & Co<\/td>\n<\/tr>\n
Truist Investment Services<\/td>\n<\/tr>\n
Austin Matthew Martinez<\/a><\/td>\nTIAA-CREF Individual & Institution Services LLC<\/td>\n<\/tr>\n
Michael Lee Young Jr.<\/a><\/td>\nLPL Financial LLC<\/td>\n<\/tr>\n
Commonwealth Financial Network<\/td>\n<\/tr>\n
Angela Danee Maynard<\/a><\/td>\nMerrill Lynch, Pierce Fenner<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for November 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-11800","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals November 2025<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2025, the following were suspended and cannot currently work for a FINRA 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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