Securities Arbitration Lawyers BlogRegistered Individuals Barred by FINRA for Violations of FINRA Rules in January 2016
According to FINRA Disciplinary actions for January 2016, 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 |
| Antonio Ambrosio | |
| Brian Michael Corbman | Streetcapital, Inc. |
| Tripoint Global Equities, LLC | |
| Richard Gordon Drown, Jr. | D.A. Davidson & Co. |
| Crowell Weedon & Co. | |
| Jason John Garcia | Merrimac Corporate Securities, Inc. |
| Wallstreet*E Financial Services, Inc. | |
| Honetta C. Kao | Meyers Associates, L.P. |
| Caldwell International Securities | |
| Michael Terrence Snedeker | Investors Capital Corp. |
| Banc of America Investment Services, Inc. | |
| Cynthia Irene Taylor | BBVA Securities, Inc. |
| BBVA Compass Investment Solutions, Inc. | |
| John Howard Towers | VSR Financial Services, Inc. |
| Rushmore Securities Corporation | |
| Marat Zeltser aka Matt Zeltser | Meyers Associates, L.P. |
| Caldwell International Securities |
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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.