Securities Arbitration Lawyers BlogIndividuals Barred by FINRA in July 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for July 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 |
| Gordon W. Adamson | Farmers Financial Solutions, LLC |
| Stephen R. Anders | Capital One Investment Services LLC |
| BB&T Investment Services, Inc. | |
| Jonathan Arroyo | J.P. Morgan Securities LLC |
| Alex Ernesto Batlle | Forest Securities, Inc. |
| Princor Financial Services Corporation | |
| James Frederick Brennan | T.R. Winston & Company, LLC |
| Gilford Securities Incorporated | |
| Ruben Emilio Cardenas | BBVA Securities Inc. |
| BBVA Compass Investment Solutions, Inc. | |
| Jessica Alyssa Diaz | Nationwide Investment Services Corporation |
| Tameika Andrea Frinks | J.P. Morgan Securities LLC |
| Ronald Fred Hanson | Valmark Securities, Inc. |
| Securities America, Inc. | |
| Daniel Helkowski III | Allstate Financial Services, LLC |
| Nationwide Securities, Inc. | |
| Jose Alberto Huerta | Wells Fargo Advisors, LLC |
| Fidelity Brokerage Services LLC | |
| Adrian Jablonski | J.P. Morgan Securities LLC |
| First Midwest Securities, Inc. | |
| Chad Lewis Jackson | J.P. Morgan Securities LLC |
| Quyen Chi Loong | Aaron Capital Incorporated |
| MetLife Securities Inc. | |
| Elizabeth Grimaneza Looper | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Matthew R. Mizera | Fifth Third Securities, Inc. |
| Chase Investment Services Corp. | |
| Lindsey Brooke Nelan | |
| Justin Lee Norris | NYLife Securities LLC |
| Rafael Angel Ortiz | Cetera Investment Services LLC |
| J.P. Morgan Securities LLC | |
| Natalia Pesin | Pruco Securities, LLC |
| Linda A. Rapp | |
| John M. Sayre | PFS Investments Inc. |
| Tanvir M. Shah | |
| Brian Edward Shamash | State Farm VP Management Corp. |
| Keith Everett Sorrentino | Stock USA Execution Services, Inc. |
| Regal Securities, Inc. | |
| Thomas Suarez | Rockwell Global Capital LLC |
| Laidlaw & Company (UK) Ltd | |
| Michael John Tordone | TSC Distributors, LLC |
| Lazard Asset Management Securities LLC | |
| David Scott Whitesel | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| David Lee Willis | Allstate Financial Services, LLC |
| Prudential Securities Incorporated | |
| Eugene Harold Wray | PFS Investments Inc. |
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.