{"id":9486,"date":"2020-11-20T09:57:51","date_gmt":"2020-11-20T14:57:51","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9486"},"modified":"2020-11-20T09:57:51","modified_gmt":"2020-11-20T14:57:51","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-september-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-september-2020\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 William Ellis<\/td>\n\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 John Evans<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Foreside Fund Services, LLC<\/td>\n<\/tr>\n
\u00a0 Dia Howell<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 May Kim<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Evan Nadelman<\/td>\n\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Ninety Holdings Group LLC<\/td>\n<\/tr>\n
\u00a0 Blair Olsen<\/td>\n\u00a0 Lincoln Investment<\/td>\n<\/tr>\n
\u00a0 Legend Equities Corporation<\/td>\n<\/tr>\n
\u00a0 Gyasi Richard<\/td>\n\u00a0 Wells Fargo Clearing Services LLC<\/td>\n<\/tr>\n
\u00a0 Philip Scherello<\/td>\n\u00a0 Traderfield Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Velocity Capital, 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 September 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-9486","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Rules September 2020<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2020, the following individuals were suspended and cannot work for a brokerage firm.\" \/>\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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