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FINRA Bars Registered Individuals in June 2017 for Failing to Comply with FINRA Rules

Posted: July 7th, 2017

According to FINRA Disciplinary actions for June 2017, the following individuals were barred 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:

NAME FORMER EMPLOYERS
  Miguel Angel Aguilar   MML Investors Services, LLC
  Northwestern Mutual Investment Services, LLC
  Steve Preston Alexander   Citizens Securities, Inc.
  CUNA Brokerage Services, Inc.
  Amadou Bah   Maxim Group LLC
  Garden State Securities, Inc.
  John W. Boals   Allstate Financial Services,, LLC
  Lionel Brooks Jr.   Merrill Lynch, Pierce Fenner & Smith Inc.
  Oppenheimer & Co. Inc.
  Sandra Canaba   LPL Financial LLC
  Chase Investment Services Corp.
  Barry Franklin Connell   Morgan Stanley
  UBS Financial Services Inc.
  Pamela A. Daniels
  Charles Greer Denormandie III   Commonwealth Financial Network
  Ameriprise Financial Services, Inc.
  Leah Rose Fox-Greenberg
  Jennifer Marie Gonzalez
  Matthew J. Houtz   Raymond James & Associates, Inc.
  Barry Jin   Spartan Capital Securities, LLC
  Lampert Capital Markets, Inc.
  Jennifer Rebecca Johnson   Ameriprise Financial Services, Inc.
  Edward Jones
  Martin Jones   Goldman Sachs & Co.
  Adam Anthony Jurczyk   J.P. Morgan Securities LLC
  Alexander Lewis   Northwestern Mutual Investment Services, LLVC
  Quinn Alexander McClendon   Citizens Securities, Inc.
  Mutual of Omaha Investor Services, Inc.
  Luan Quoc Nguyen   Pruco Securities, LLC
  Timothy John Reed   Suntrust Investment Services, Inc.
  Wells Fargo Advisors, LLC
  Steven Barry Sitzer   Dinosaur Securities, LLC
  Spartan Capital Securities, LLC
  Raynard Keshav Sookdial   PFS Investments Inc.
  Quynh Ngoc Tran   JP Morgan Securities LLC
  Kevin Jin Yi   Voya Financial Advisors, Inc.
  Young Min Yun

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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