{"id":9308,"date":"2020-09-03T11:38:59","date_gmt":"2020-09-03T15:38:59","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9308"},"modified":"2020-09-03T11:38:59","modified_gmt":"2020-09-03T15:38:59","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-august-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-august-2020\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Ignacio Del Campo<\/td>\n\u00a0 Epic Capital Securities<\/td>\n<\/tr>\n
\u00a0 Insigneo Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Marvin Egorin<\/td>\n\u00a0 Wedbush Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Frank Grant IV<\/td>\n<\/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 Jonathan Malone<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Brill Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Evan Nadelman<\/td>\n\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Forefront Capital Markets LLC<\/td>\n<\/tr>\n
\u00a0 Jon Scheier<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Andrew Slocum<\/td>\n\u00a0 Charles Schwab & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Elizabeth Sollars<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Junior Tonkam<\/td>\n\u00a0 PFS Investments 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<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for August 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-9308","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Registered Individuals For Rules Violations August 2020<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for August 2020, the following individuals were suspended from FINRA for violating FINRA rules.\" \/>\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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