{"id":2897,"date":"2015-10-14T00:00:00","date_gmt":"2015-10-14T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/miami-broker-mikell-simmons-fined-and-suspended-by-finra\/"},"modified":"2018-10-08T12:40:47","modified_gmt":"2018-10-08T16:40:47","slug":"miami-broker-mikell-simmons-fined-and-suspended-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/miami-broker-mikell-simmons-fined-and-suspended-by-finra\/","title":{"rendered":"Miami Broker Mikell Simmons Fined and Suspended by FINRA"},"content":{"rendered":"<\/p>\n<p><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Miami-Broker-Mikell-Simmons-Fined-and-Suspended-by-FINRA.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"wp-image-2069 alignnone\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Miami-Broker-Mikell-Simmons-Fined-and-Suspended-by-FINRA-300x182.jpg\" alt=\"Miami Broker Mikell Simmons Fined and Suspended by FINRA on silverlaw.com\" width=\"603\" height=\"365\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Miami-Broker-Mikell-Simmons-Fined-and-Suspended-by-FINRA-300x182.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Miami-Broker-Mikell-Simmons-Fined-and-Suspended-by-FINRA-1024x620.jpg 1024w\" sizes=\"auto, (max-width: 603px) 100vw, 603px\" \/><\/a><\/p>\n<h2>Failure to disclose criminal charges results in $5,000 fine and suspension<\/h2>\n<p>During a 15-year career in the securities industry, Miami-based broker Mikell Simmons has seen a total of six disclosure events on his official record, the most recent of which includes a one-month suspension and a $5,000 fine.<\/p>\n<p>According to Simmons\u2019 <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/2675775\"  target=\"_blank\">FINRA BrokerCheck record<\/a>, the Miami broker, most recently registered with Global Strategic Investments, failed to update his U4 form required by the regulatory body with information pertaining to criminal charges brought against him in February 2013 while he was employed by CP Capital Securities. Per <a href=\"https:\/\/www.finra.org\/sites\/default\/files\/AppSupportDoc\/p015111.pdf\"  target=\"_blank\">FINRA broker requirements<\/a> \u201can individual is under a continuing obligation to amend and update information required by Form U4 as changes occur.\u201d As a result, on June 11, 2015, FINRA handed Simmons a one-month suspension along with a $5,000 fine.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/miami-broker-mikell-simmons-fined-and-suspended-by-finra\/\"  title=\"Continue Reading Miami Broker Mikell Simmons Fined and Suspended by FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Failure to disclose criminal charges results in $5,000 fine and suspension During a 15-year career in the securities industry, Miami-based broker Mikell Simmons has seen a total of six disclosure events on his official record, the most recent of which includes a one-month suspension and a $5,000 fine. According to Simmons\u2019 FINRA BrokerCheck record, the [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,602],"tags":[17],"class_list":["post-2897","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-class-action","tag-fined-and-suspended-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Miami Broker Mikell Simmons Fined and Suspended by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; October 14, 2015<\/title>\n<meta name=\"description\" content=\"To know more check out the new article on Miami Broker Mikell Simmons Fined and Suspended by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" 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