{"id":8268,"date":"2019-05-23T10:47:16","date_gmt":"2019-05-23T14:47:16","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8268"},"modified":"2019-05-23T10:47:16","modified_gmt":"2019-05-23T14:47:16","slug":"finra-suspends-registered-individuals-in-may-2019-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-may-2019-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in May 2019 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 2019, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Bang, Gregory<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Bishop, Tywan<\/td>\n\u00a0 Charles Schwab & Co, Inc<\/td>\n<\/tr>\n
\u00a0 ETrade<\/td>\n<\/tr>\n
\u00a0 Block, Gabriel<\/td>\n\u00a0 First Standard Financial Company LLC<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Duchan, Patricia<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Hovermale, Jeffrey<\/td>\n\u00a0 Sovereighn Legacy Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Sigma Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Kane, Jordan<\/td>\n\u00a0 Citizens Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Martinez, Joseph<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 The Prudential Insurance Company of America<\/td>\n<\/tr>\n
\u00a0 Norris, Timothy<\/td>\n\u00a0 BMO Harris Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 HarrisDirect LLC<\/td>\n<\/tr>\n
\u00a0 Weldon, Benjamin<\/td>\n\u00a0 State Farm VP Mgmt Corp<\/td>\n<\/tr>\n
\u00a0 Ben Weldon Insurance Agency<\/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 May 2019, 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 Bang, Gregory \u00a0 NYLife Securities LLC \u00a0 […]<\/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-8268","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in May 2019 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — May 23, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from 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