{"id":9117,"date":"2020-06-16T09:40:44","date_gmt":"2020-06-16T13:40:44","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9117"},"modified":"2020-06-16T09:40:44","modified_gmt":"2020-06-16T13:40:44","slug":"finra-bars-stockbrokers-for-failing-to-provide-information-may-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-information-may-2020\/","title":{"rendered":"FINRA Bars Stockbrokers For Failing To Provide Information May 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 2020, the following individuals were barred 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 George Belesis<\/td>\n\u00a0 Portfolio Advisors Alliance, LLC<\/td>\n<\/tr>\n
\u00a0 John Thomas Financial<\/td>\n<\/tr>\n
\u00a0 Dustin Blount<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Barry Carson<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Felix Chu<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Brian Colburn<\/td>\n\u00a0 Maxim Group LLC<\/td>\n<\/tr>\n
\u00a0 The Buckingham Research Group Incorporated<\/td>\n<\/tr>\n
\u00a0 Prithviraj Dhandapani<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Michael Drury<\/td>\n\u00a0 Stillpoint Capital LLC<\/td>\n<\/tr>\n
\u00a0 Davrion Hemphill<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Robert Lee<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Eric Zakarin<\/td>\n\u00a0 Lombard Securities Incorporated<\/td>\n<\/tr>\n
\u00a0 Independent Financial Group, 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 barred 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 George Belesis \u00a0 Portfolio Advisors Alliance, 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-9117","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Bars Stockbrokers For Failing To Provide Information May 2020<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2020, the following individuals were barred from FINRA for failing to provide 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