Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in November 2015
According to FINRA Disciplinary actions for November 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 |
| Antonio Ambrosio | |
| Silvia Patricia Arevalo | J.P. Morgan Securities LLC |
| Donna Kay Beers | Titan Securities |
| Private Consulting Group, Inc. | |
| Joe L. Buckner | Brazos Securities, Inc. |
| Maplewood Investment Advisors, Inc. | |
| Richard Gordon Drown, Jr. | D.A. Davidson & Co. |
| Crowell, Weedon & Co. | |
| Jason John Garcia | Merrimac Corporate Securities, Inc. |
| Wellstreet*E Financial Services, Inc. | |
| Li-Lin Hsu | Transglobal Advisory, LLC |
| Ameriprise Financial Services, Inc. | |
| Margaret Mary Martin | MML Investors Services LLC |
| Park Avenue Securities LLC | |
| Cynthia Irene Taylor | BBVA Securities Inc. |
| BBVA Compass Investment Solutions, Inc. |
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.