According to FINRA Disciplinary actions for December 2022, 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:
NAME |
FORMER EMPLOYERS |
Albert Aviles |
Reid & Rudiger LLC |
Spartan Capital Securities, LLC |
Ruth Chambers |
Raymond James & Associates, Inc. |
Mutual Trust Co. of America Securities |
Seymour Cohen |
Wilmington Capital Securities, LLC |
Clark Dodge & Co., Inc. |
Anthony DiLullo |
LPL Financial LLC |
ING Financial Partners, Inc. |
John Fabiano |
LPL Financial LLC |
JD Financial Services Inc. |
Samuel Heavrin |
J.P. Morgan Securities LLC |
Austin Lazarus |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
J.P. Morgan Secvurities LLC |
Jason Long |
State Farm VP Management Corp. |
Pamelia Owensby |
UBS Financial Services Inc. |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Alexandra Smith |
J.P. Morgan Securities LLC |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
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