{"id":9192,"date":"2020-07-29T15:30:26","date_gmt":"2020-07-29T19:30:26","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9192"},"modified":"2020-07-29T15:30:26","modified_gmt":"2020-07-29T19:30:26","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-june-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-june-2020\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 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\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Joanna Abdelhadi<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Credit Suisse Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kenneth Butschek<\/td>\n\u00a0 ProEquities, Inc.<\/td>\n<\/tr>\n
\u00a0 Securities Management & Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Nathaniel Clay<\/td>\n\u00a0 Laidlaw & Company (UK) Ltd<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Alan Lau<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Investments, LLC<\/td>\n<\/tr>\n
\u00a0 Scott Levine<\/td>\n\u00a0 Craft Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 PHX Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Stefano Listella<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Great Point Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Stanley Martin<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 H&R Block Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Scott Mason<\/td>\n\u00a0 Voya Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Jon Scheier<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Scott Snelling<\/td>\n\u00a0 Kestra Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 National Planning Corporation<\/td>\n<\/tr>\n
\u00a0 Elizabeth Sollars<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Marc Winters<\/td>\n\u00a0 Wedbush Securities Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/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-9192","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of FINRA Rules June 2020<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2020, the following individuals were suspended ffor failing to provide FINRA with information it requested.\" \/>\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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