{"id":6671,"date":"2018-10-02T08:40:48","date_gmt":"2018-10-02T12:40:48","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6671"},"modified":"2018-10-02T08:40:48","modified_gmt":"2018-10-02T12:40:48","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-in-september-2018","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-in-september-2018\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in September 2018"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 2018, 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:<\/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\n\n\n\n
\n

NAME<\/strong><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/td>\n<\/tr>\n

\u00a0 Denise Canez<\/td>\n<\/td>\n<\/tr>\n
\u00a0 John Drill<\/td>\n\u00a0 Northwestern Mutual Investment Services LLC<\/td>\n<\/tr>\n
\u00a0 Robert Baird & Co Incorporated<\/td>\n<\/tr>\n
\u00a0 Glenn Grosek<\/td>\n\u00a0 Citizens Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Prunco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Edgar Guzman-Gonzalez<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Chase Bank<\/td>\n<\/tr>\n
\u00a0 Donald Heitz<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 First Command Financial Planning, Inc.<\/td>\n<\/tr>\n
\u00a0 Gretchen Jenkins<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 ESL Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Phillip Johnson<\/td>\n\u00a0 D.H. Securities, LLLP<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc<\/td>\n<\/tr>\n
\u00a0Christopher Landa<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Principal Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Robin Lomont<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jeffrey Offen<\/td>\n\u00a0 Craft Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Shawn Palmer<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Woodbury Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Somning Pheth<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Bank NA<\/td>\n<\/tr>\n
\u00a0 Phillip Schreiner<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Damian Serret<\/td>\n\u00a0 PFS Investments Inc<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Charles Suhar<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Zachary Swords<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Bryce Vance<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Stephen Yaworsky<\/td>\n\u00a0 Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Bancwest Investment Services, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases through FINRA arbitration or court.\u00a0 Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct<\/a>.\u00a0 If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.<\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for September 2018, 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: NAME FORMER EMPLOYERS \u00a0 Denise Canez \u00a0 John Drill \u00a0 Northwestern […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577],"tags":[],"class_list":["post-6671","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules in September 2018 — Securities Arbitration Lawyers Blog — October 2, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2018, the following 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