FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2021
According to FINRA Disciplinary actions for June 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:
NAME | FORMER EMPLOYERS |
Lorenzo Atkins | The Huntington Investment Company |
Fifth Third Securities, Inc. | |
Cyntera Belser | J.P. Morgan Securities LLC |
Amanda Berry | MML Investors Services, LLC |
NYLife Securities LLC | |
Tiffany Burgess | |
James Carpenter II | Simplified Wealth Management |
LPL Financial LLC | |
Jinnie Chean | Allstate Financial Services, LLC |
Paul Furusho | AWA Capital, Inc |
Comprehensive Asset Management & Servicing, Inc. | |
Courtney Mahdak | Charles Schwab & Co., Inc. |
Marco Rivera | J.P. Morgan Securities LLC |
Janie Royal | Key Investment Services LLC |