{"id":9303,"date":"2020-09-03T10:51:57","date_gmt":"2020-09-03T14:51:57","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9303"},"modified":"2020-09-03T10:51:57","modified_gmt":"2020-09-03T14:51:57","slug":"finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-august-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-stockbrokers-for-failing-to-provide-finra-with-information-august-2020\/","title":{"rendered":"FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 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\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 (USA) 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 Paula Collins<\/td>\n\u00a0 TIAA-CREF Individual & Institutional Services, LLC<\/td>\n<\/tr>\n
\u00a0 Oppenheimerfunds Distributor, Inc.<\/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 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 Western Wealth Management, 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 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 July 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 Joanna Abdelhadi \u00a0 Wells Fargo Clearing Services, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588,580],"tags":[],"class_list":["post-9303","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Bars Stockbrokers For Failing To Provide Information August 2020<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2020, the following individuals were barred from FINRA for failing to provide 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