FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2023
According to FINRA Disciplinary actions for October 2023, 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 |
Daniel Ditch | PFS Investments Inc. |
Stephen Jones | Equitable Advisors, LLC |
Robert Luley Jr. | Pruco Securities LLC |
Madison Avenue Securities, LLC | |
Jack McBride | Newbridge Securities Corporation |
B. Riley Wealth Management | |
Hector Negrete | Transamerica Financial Advisors, Inc. |
World Group Securities, Inc. | |
Shawn O’Connell | Morgan Stanley |
Merrill Lynch, Pierce ,Fenner & Smith Incorporated | |
Steven Thompson | Network 1 Financial Securities Inc. |
SW Financial |