Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2015
According to FINRA Disciplinary actions for December 2015, 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 |
| Adam Douglas Carrol | The Leaders Group, Inc. |
| Metlife Securities Inc. | |
| Dennis Fitzgerald Davis | J.P. Morgan Securities, LLC |
| Chase Investment Services Corp. | |
| Stevaun I. Davis | |
| Theodore Garrity | Feltl & Company |
| Morgan Stanley & Co. Incorporated | |
| Andy Edgar Hernandez | J.P. Morgan Securities, LLC |
| Chase Investment Services Corp. | |
| Geneero Tyrone Jackson | Pruco Securities, LLC |
| J.P. Morgan Securities, LLC | |
| Tony Sang Jung | MML Distributors, LLC |
| MML Investors Services, LLC | |
| Andreas Stavros Kentrotas | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Jay Max Mabry | Park Ave Securities |
| Regal Investment Advisors LLC | |
| Brett James McCullough | Hancock Investment Services, Inc. |
| Multi-Financial Securities Corporation | |
| Joseph Anthony Mele | |
| Mary Pearl Reed | Wells Fargo Advisors, LLC |
| Morgan Stanley DW Inc. | |
| Marguerite A. Sanders | J.P. Morgan Securities, LLC |
| Chase Investment Services Corp. | |
| Eugene Theodore Smietana | LPL Financial LLC |
| Prudential Securities Inc. | |
| Jacqueline Lee Vadala | Craig Scott Capital, LLC |
| Rockwell Global Capital, LLC | |
| Edward Francis Vincent | LPL Financial LLC |
| UBS Financial Services, Inc. | |
| Kenneth Robert Wooden | Edward Jones |
| Chase Investment Services Corp. |
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.