{"id":9178,"date":"2020-07-27T12:42:51","date_gmt":"2020-07-27T16:42:51","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9178"},"modified":"2020-07-27T12:42:51","modified_gmt":"2020-07-27T16:42:51","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-july-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-july-2020\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations of FINRA Rules July 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Conrad Coggeshall<\/td>\n\u00a0 Packerland Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 USA Financial Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Madeline Colon<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jennifer Holmes<\/td>\n\u00a0 Voya Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 ING Financial Advisers, LLC<\/td>\n<\/tr>\n
\u00a0 Yee Yee Htwe<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Jennifer Pendley<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 David Stateman<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Alexander Walker<\/td>\n\u00a0 Fidelity Brokerage 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 June 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-9178","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals For Rules Violations July 2020<\/title>\n<meta name=\"description\" content=\"The following individuals were suspended from FINRA for failing to provide FINRA with information it requested or to keep information current.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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