{"id":9114,"date":"2020-06-11T14:36:11","date_gmt":"2020-06-11T18:36:11","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9114"},"modified":"2020-06-11T14:36:11","modified_gmt":"2020-06-11T18:36:11","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-may-2020\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules May 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 2020, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:<\/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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Robert Cacioppo<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Paula Collins<\/td>\n\u00a0 TIAA-CREF Individual & Institutional Services, LLC<\/td>\n<\/tr>\n
\u00a0 OppenheimerFunds Distributor, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Davis<\/td>\n\u00a0 Allied Millennial Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Syren Capital Advisors<\/td>\n<\/tr>\n
\u00a0 Megan Hoffman<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Jody Pullium<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Ana Rivera<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 John Santariello<\/td>\n\u00a0 Arive Capital Markets<\/td>\n<\/tr>\n
\u00a0 Cape Securities Inc.<\/td>\n<\/tr>\n
\u00a0 George Schmidt, Jr.<\/td>\n\u00a0 Lincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
\u00a0 Horner, Townsend & Kent, Inc.<\/td>\n<\/tr>\n
\u00a0 Ricardo Turlan<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Kevin Williams<\/td>\n\u00a0 Lucia Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for May 2020, 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. However, these individuals remain bound by the securities arbitration agreement to […]<\/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-9114","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals May 2020<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2020, the following individuals were suspended from FINRA for failing to provide requested information.\" \/>\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-for-violations-of-finra-rules-may-2020\/\" 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