Securities Arbitration Lawyers BlogIn November 2015, FINRA Bars Registered Individuals for Violations of FINRA Rules
According to FINRA Disciplinary actions for November 2015, 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 |
| Arnold Baratz | The Investment Center, Inc |
| Morgan Stanley Smith Barney | |
| Curlean Bradley-Lofters | Citigroup Global Markets Inc. |
| Citicorp Investment Services | |
| Ben Holton Bruner | Summit Brokerage Services Inc. |
| Wells Fargo Advisors, LLC | |
| Randy Carole Denenberg | Transamerica Financial Advisors, Inc. |
| Regina Michelle Flener | |
| Kristina Ann Gannon | Key Investment Services LLC |
| Daniel Heredia-Macias | Wells Fargo Advisors LLC |
| JP Morgan Institutional Investments Inc. | |
| Thomas John Hindes Jr. | LPL Financial LLC |
| Edward Jones | |
| Belinda F. Hutto | |
| Benjamin Hladen Kline | LPL Financial LLC |
| Pruco Securities LLC | |
| Jerome Stuart Kudisher | Stifel, Nicholaus & Company, Incorporated |
| Ryan Beck & Co. | |
| David Michael Levy | Titus Rockefeller, LLC |
| IFS Securities | |
| Vladimir Lenin Lopez | Citigroup Global Markets Inc. |
| Wells Fargo Advisors, LLC | |
| Russell Philip Macke | B.B. Graham & Company, Inc. |
| Forsyth Securities, Inc. | |
| Jose Eduardo Mancia | J.P. Morgan Securities, LLC |
| Chase Investment Services Corp | |
| Justin Eugene May-Lawhon | Suntrust Investment Services, Inc. |
| Newbridge Securities Corporation | |
| Jerry Owen Mofield | Newbridge Securities Corporation |
| First Montauk Securities Corp. | |
| Edward Thomas Murphy | Wells Fargo Advisors Financial Networks, LLC |
| Morgan Stanley DW Inc. | |
| Theresa Leone Tremblay | UBS Financial Services Inc. |
| Adela Noelle Turner | Key Investment Services LLC |
| Wesbanco Securities, Inc. | |
| Louis Joseph Wepy | Santander Securities LLC |
| J.P. Morgan Securities LLC | |
| Leor Yohanan | Meyers Associates, LP |
| Salomon Grey Financial Corporation |
Silver Law Group represents investors in securities and investment fraud cases. Scott Silver is admitted to practice in New York and Florida and represents 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.