Securities Arbitration Lawyers BlogFINRA Terminates Brokers’ Licenses in June 2015
According to FINRA Disciplinary actions for June 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 |
| Jason Wade Cox | Edward Jones |
| Dillon M. Edwards | Princor Financial Services Corporation |
| Gino Arturo Fortis | H.D. Vest Investment Services |
| Foresters Equity Services, Inc. | |
| Herbert Andrew Hood Jr. | Valic Financial Advisors, Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Rodney Bryan Howell | Transamerica Financial Advisors, Inc. |
| Melissa Diana Powell | |
| Tina Lynn Reed | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Wachovia Securities, LLC | |
| Lynn Marie Schmidt | Meritus Financial Group, Inc. |
| Rise, Inc. | |
| Mark I. Stark | LPL Financial LLC |
| Five Star Investment Services, Inc. | |
| Peter Yao | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith 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.