{"id":9844,"date":"2021-03-08T15:37:14","date_gmt":"2021-03-08T20:37:14","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9844"},"modified":"2021-03-08T15:37:14","modified_gmt":"2021-03-08T20:37:14","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-february-2021","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-february-2021\/","title":{"rendered":"FINRA Suspends Registered Individuals For Violations Of FINRA Rules February 2021"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 2021, 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 Tracy Adams<\/td>\n\u00a0 Ameriprise Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Ronald Bartsch<\/td>\n\u00a0 Union Capital Company<\/td>\n<\/tr>\n
\u00a0 Liberty Partners Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Lynn Cawthorne<\/td>\n\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Investment Professionals, Inc.<\/td>\n<\/tr>\n
\u00a0 Jorge Guzman<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Nelson Polun<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Richard Ramos<\/td>\n\u00a0 Wells Fargo Clearing Services LLC<\/td>\n<\/tr>\n
\u00a0 Curtis Smiley<\/td>\n\u00a0 Primex<\/td>\n<\/tr>\n
\u00a0 Sandlapper Securities, LLC<\/td>\n<\/tr>\n
\u00a0 David Stateman<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Dwight Sulc<\/td>\n\u00a0 B.B. Graham & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Alon Zak<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 MML Investors 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 February 2021, 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-9844","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Violations Of Rules February 2021<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2021, the following individuals were suspended and cannot currently work 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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