{"id":8664,"date":"2019-12-23T16:40:44","date_gmt":"2019-12-23T21:40:44","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8664"},"modified":"2019-12-23T16:40:44","modified_gmt":"2019-12-23T21:40:44","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-7","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-7\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 DiLiberto, Jesse<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Wilmington Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Fry, Stephen<\/td>\n\u00a0 Woodbury GFinancial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 H.D. Investment Services<\/td>\n<\/tr>\n
\u00a0 Gonzalez, Sofia<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America<\/td>\n<\/tr>\n
\u00a0 Johnson, Timothy Jr.<\/td>\n\u00a0 MML Investors, LLC<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc<\/td>\n<\/tr>\n
\u00a0 Karney, Amogh<\/td>\n<\/td>\n<\/tr>\n
\u00a0 McGuire, Jesse<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Mostert, John<\/td>\n\u00a0 Quest Capital Strategies, Inc.<\/td>\n<\/tr>\n
\u00a0 Intersecurities, Inc<\/td>\n<\/tr>\n
\u00a0 Murray, Robert<\/td>\n\u00a0 SW Financial<\/td>\n<\/tr>\n
\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Stokes, Dain<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for December 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 DiLiberto, Jesse \u00a0 Fidelity Brokerage Services LLC […]<\/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-8664","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals For Violations Of FINRA Rules<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA and 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