Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for March 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 |
| Raymond Francis Aleksey | Wells Fargo Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | |
| Tiffany Dawn Bee | |
| Toby Blackwood | PFS Investments Inc. |
| Primerica Financial Services | |
| Angela K. Blaylock | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Benjamin Jon Brown | State Farm VP Management Corp. |
| American Express Financial Advisors, Inc. | |
| Thomas Anthony Cammarano | LPL Financial LLC |
| Associated Securities Corp. | |
| Brian Andrew Dunn | Robert W. Baird & Co. Inc |
| Citigroup Global Markets, Inc. | |
| Susan Ann Ericson | UBS Financial Services, Inc. |
| Jose L. Espinoza | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Craig Steven Ferraro | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Michael W. Finn | Merrill Lynch, Pierce, Fenner & Smith, Inc |
| Robert Joseph Gray | Allstate Financial Services, LLC |
| Kyle Brockman Greene | J.P. Morgan Securities LLC |
| Larry Phillip Harvey, Jr. | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Christopher Hermiz | J.P. Morgan Securities LLC |
| Andy Edgar Hernandez | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Steve Everett Hinrichs | State Farm VP Management Corp. |
| Richard Allen Isgrig | Northwestern Mutual Investment Services, LLC |
| Robert W. Baird & Co. Inc. | |
| Brian Grayson Kidder | High Point Capital Group, Inc. |
| Delaney Equity Group, Inc. | |
| Matthew Lawrence Lalonde | Buckman, Buckman & Reid, Inc. |
| LPL Financial LLC | |
| Kathleen Mary Loney | LPL Financial LLC |
| Mutual Service Corporation | |
| James Joseph McCarron III | J.P. Turner & Company, LLC |
| QA3 Financial Corp. | |
| Brett James McCollough | Hancock Investment Services, Inc. |
| Multi-Financial Securities Corp | |
| Marco A. Mendoza | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Vincent Joseph Menello, Jr. | |
| Jason Scott Miller | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Darlene Byrd Page | Morgan Stanley |
| UVest Financial Services Group, Ic. | |
| Christopher A. Parris | Nationwide Securities, Inc. |
| The Lucian Group | |
| Benjamin John Pritchett | Wells Fargo Advisors, LLC |
| Investors Capital Corp. | |
| Francis Anthony Jason Punsalan | J.P. Morgan Securities LLC |
| Ebony C. Ranson | |
| Toni Leynett Robertson | Caprock Securities, Inc. |
| Investment Professionals, Inc. | |
| Marguerite A. Sanders | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| John Larry Simpson | Princor Financial Services Corp |
| Avalon Investment & Securities Group, Inc. | |
| Robert Jay Snider | Thrivent Investment Management Inc. |
| Leonard Toth | Pruco Securities, LLC |
| Edward Francis Vincent | LPL Financial LLC |
| UBS Financial Services Inc. | |
| Jean Ann Walsh-Josephson | Thrivent Investment Mangement Inc. |
| Robin Michelle Wolfgram | Cetera Advisors LLC |
| Foothill Securities, Inc. | |
| Jamie Reid Zimmerman |
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.