Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in May 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for May 2017, 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:
| NAME | FORMER EMPLOYERS |
| Dimitris Alifragis | |
| Ricardo Alonzo Jr. | |
| David William Beutler | Wells Fargo Advisors, LLC |
| Prudential Securities Incorporated | |
| J. Gordon Cloutier Jr. | Wells Fargo Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Donald Joseph Coleman | Citigroup Global Markets Inc. |
| Charles Maxwell Cox | Wells Fargo Advisors, LLC |
| Chases Investment Services Corp. | |
| Laura Johnson Craven | State Farm VP Management Corp. |
| Thomas A. Davis | Wells Fargo Advisors, LLC |
| Megan Eilers | Wells Fargo Advisors, LLC |
| First Clearing, LLC | |
| Ayrton Pierce Haddad | TD Ameritrade, Inc. |
| E*Trade Securities LLC | |
| Scott William Hartman | Morgan Stanley |
| Sanford C. Bernstein & Co., LLC | |
| Stephen Johnathan Hoshimi | Crescent Securities Group, Inc. |
| Capwest Securities, Inc. | |
| Israel Jurkevicz | J.P. Morgan Securities LLC |
| Shawn Brett Larkin | Fidelity Brokerage Services LLC |
| Richard Muzquiz Jr. | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Sharon Theresa Noonan | Allstate Financial Services LLC |
| Prudential Securities Incorporated | |
| Olateju Samson Oyeniyi | |
| Michael Jason Ripper | International Assets Advisory, LLC |
| LPL Financial LLC | |
| Christopher Peter Rose | State Farm VP Management Corp. |
| Teresita Santos Santos | Tramsamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Bimal Kishore Shah | Independent Financial Group, LLC |
| WRP Investments Inc. | |
| Bryan Michael Snyder | J.P. Morgan Securities LLC |
| Northwestern Mutual Investment Services, LLC | |
| Cory Ward Taylor | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Xin Wang | JP Morgan Securities LLC |
| Matthew Edward Witkowski | Vanguard Marketing Corporation |
| Edward Jones |
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.