{"id":8634,"date":"2019-11-26T10:02:21","date_gmt":"2019-11-26T15:02:21","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8634"},"modified":"2021-03-06T00:21:47","modified_gmt":"2021-03-06T05:21:47","slug":"october-2019-finra-suspensions","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/october-2019-finra-suspensions\/","title":{"rendered":"FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Acca, Lisa<\/td>\n\u00a0 Arive Capital Markets<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Partners<\/td>\n<\/tr>\n
\u00a0 Bailey, Michael<\/td>\n\u00a0 PFS Investments<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Bartley, Jevon<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith<\/td>\n<\/tr>\n
\u00a0 Bank of America<\/td>\n<\/tr>\n
\u00a0 Bisch, Sara<\/td>\n\u00a0 Santander Securities<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Shanks, Anita<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Gonzales, Edward<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Hegarty, Adrian<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets<\/td>\n<\/tr>\n
\u00a0 Kraft, David<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 La Gala, Anthony<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Lundstrom, Jeffrey<\/td>\n\u00a0 Signator Investors<\/td>\n<\/tr>\n
\u00a0 Transamerica Financial Advisors<\/td>\n<\/tr>\n
\u00a0 Madril, Michael<\/td>\n\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 Mazza, Vincent<\/td>\n\u00a0 National Securities Corp<\/td>\n<\/tr>\n
\u00a0 Kovak Securities<\/td>\n<\/tr>\n
\u00a0 McClellan, Richard<\/td>\n\u00a0 LPL Financial<\/td>\n<\/tr>\n
\u00a0 MML Investors Services<\/td>\n<\/tr>\n
\u00a0 Murano, Marc<\/td>\n\u00a0 JP Turner & Company<\/td>\n<\/tr>\n
\u00a0 Muraya, Benson<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Nurrain, Merle<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Olsen, Blair<\/td>\n\u00a0 Lincoln Investment<\/td>\n<\/tr>\n
\u00a0 Legend Equitities Corp<\/td>\n<\/tr>\n
\u00a0 Sandhu, Angad<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Scarfone, Bryce<\/td>\n\u00a0 HSBC Securities (USA) Inc<\/td>\n<\/tr>\n
\u00a0 Sperring, Donald Jr.<\/td>\n\u00a0 AXA Advisors LLC<\/td>\n<\/tr>\n
\u00a0The Equitable Lie Assurance Society of the United States<\/td>\n<\/tr>\n
\u00a0 <\/u>Su, Zachary<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 World Financial Group<\/td>\n<\/tr>\n
\u00a0 Uwechue, Anthony<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Chase Investment Serivces<\/td>\n<\/tr>\n
\u00a0 Wright, Tiana<\/td>\n\u00a0 Northwestern Mutual Investment Services<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for October 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","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-8634","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Disciplinary Actions October 2019 Name Individuals Suspended<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2019, the following individuals were suspended and cannot currently work for a FINRA brokerage firm.\" \/>\n<meta name=\"robots\" content=\"index, follow, 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