Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in February 2017
According to FINRA Disciplinary actions for February 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 |
| Roberto Omar Bastardo | Wells Fargo Advisors, LLC |
| Bernard B. Beal | Blaylock Robert Van LLC |
| M.R. Beal & Company | |
| Christopher John Calandrino | Joseph Stone Capital LLC |
| Cape Securities Inc. | |
| Munaem Choudhury | Chelsea Financial Services |
| Brookstone Securities, Inc | |
| Donald Joseph Coleman | Citigroup Global Markets Inc. |
| Dawn Deshean Davenport | J.P. Morgan Securities LLC |
| Thomas A. Davis | Wells Fargo Advisors, LLC |
| John Scott Elliott | Ameriprise Financial Services, Inc. |
| Sherman Lee Greer | LPL Financial LLC |
| UVest Financial Services Group, Inc. | |
| John Francis Hart | WFG Investments, Inc. |
| Questar Capital Corporation | |
| Raul Enrique Jacobs | Waddell & Reed |
| T2 Asset Management, LLC | |
| Adela Ovadia Levy | |
| Derrick Joseph Luttrell | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Charles Schwab & Co. Inc. | |
| Roxanna Andrea Marin | Wells Fargo Advisors, LLC |
| Farid Morim | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Ryan Edward O’Neal Jr. | |
| Brian Thomas Perry | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Francesco Anthony Scarso | First Standard Financial Company LLC |
| PHX Financial, Inc. | |
| Keith Patrick Sequeira | Royal Alliance Associates, Inc. |
| Wells Fargo Advisors, LLC | |
| Bryan Michael Snyder | J.P. Morgan Securities, LLC |
| Northwestern Mutual Investment Services, LLC | |
| Melanie Sherry Sweet | Hamershlag Sulzberger Borg Capital Markets |
| Southlake Capital, LLC |
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.