{"id":8426,"date":"2019-07-01T15:46:23","date_gmt":"2019-07-01T19:46:23","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8426"},"modified":"2019-07-01T15:46:23","modified_gmt":"2019-07-01T19:46:23","slug":"finra-suspends-registered-individuals-in-june-2019-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-june-2019-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in June 2019 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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\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 Andrews, Carolyn<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc<\/td>\n<\/tr>\n
\u00a0 Avent, Meiewyn<\/td>\n\u00a0 Alliance-One Investments, LLC<\/td>\n<\/tr>\n
\u00a0 Metlife Investors Distribution Company<\/td>\n<\/tr>\n
\u00a0 Bougopoulkos, Nicholas<\/td>\n\u00a0 Wells Fargo Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Stifel Financial Corp<\/td>\n<\/tr>\n
\u00a0 Cook, Marian<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Corley, Robert<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Redstone Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Detamore, Craig<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Dysart, Jennifer<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Friedman, Steven<\/td>\n\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Garcia, Francisco<\/td>\n\u00a0 Park Avenue Securities<\/td>\n<\/tr>\n
\u00a0 EQ Financial Consultants Inc<\/td>\n<\/tr>\n
\u00a0 Griffin, Sparkle<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Heilman, Peter<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 High, Robert<\/td>\n\u00a0 First Financial Equity Corp<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Irizarry, Melissa<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Invest Financial Corp<\/td>\n<\/tr>\n
\u00a0 LaBare, Richard<\/td>\n\u00a0 Union Capital Company<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley & Co Inc<\/td>\n<\/tr>\n
\u00a0 Mariampolski, Arnold<\/td>\n\u00a0 AXA Advisors<\/td>\n<\/tr>\n
\u00a0 Ohel, Ziv<\/td>\n\u00a0 CFD Investments, Inc<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Ortega, James<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Powers, Robert<\/td>\n\u00a0 Emerging Growth Equities, LTD<\/td>\n<\/tr>\n
\u00a0 Roth Capital Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Rubio, Miguel<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Soto, Rani<\/td>\n\u00a0 Prudential Investment Mgmt Services LLC<\/td>\n<\/tr>\n
\u00a0 Alliance Bernstein Investments, Inc<\/td>\n<\/tr>\n
\u00a0 Thompson-Owens, Terrell<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Thurman, Purnell<\/td>\n\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Yasso, Brandon<\/td>\n\u00a0 JP Morgan Securities LLC<\/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","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for June 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 Andrews, Carolyn \u00a0 UBS Financial Services Inc. […]<\/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-8426","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in June 2019 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — July 1, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage — July 1, 2019\" \/>\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-in-june-2019-for-violations-of-finra-rules\/\" \/>\n<meta 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