{"id":9627,"date":"2021-01-04T15:05:27","date_gmt":"2021-01-04T20:05:27","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9627"},"modified":"2021-01-04T15:05:27","modified_gmt":"2021-01-04T20:05:27","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2020\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules December, 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Jamie Bennett<\/td>\n\u00a0 Silber Bennett Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Silver Portal Capital LLC<\/td>\n<\/tr>\n
\u00a0 Chelsea Flohr<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Jon Foster<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Mark Grenier<\/td>\n\u00a0 David Lerner Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Maxim Group LLC<\/td>\n<\/tr>\n
\u00a0 Dorinda Lumpkin<\/td>\n\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Jorge Pica<\/td>\n\u00a0 Suntrust Robinson Humphrey, Inc.<\/td>\n<\/tr>\n
\u00a0 Stephens Inc.<\/td>\n<\/tr>\n
\u00a0 Aaron Pierett<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, 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 December 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-9627","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules December 2020<\/title>\n<meta name=\"description\" content=\"FINRA Disciplinary actions for December 2020, the following individuals were suspended for failing to provide FINRA with information.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-december-2020\/\" 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