Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules – 4
According to FINRA Disciplinary actions for November, 2014, 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 |
| Emily Maureen Allred | JP Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Edwin Alvarez | CCO Investment Services Corp. |
| MML Investors Services, LLC | |
| Corina Oikam Chan | Metlife Securities Inc. |
| Jenna Lynn Connett | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Karl Robert Dierman | MML Investors Services, LLC |
| Royal Alliance Associates, Inc. | |
| Luis Espinoza | |
| David Jay Homan | Wells Fargo Advisors, LLC |
| UBS Financial Services Inc. | |
| Charles Damien Johnson | Laidlaw & Company (UK) Ltd |
| Global Arena Capital Corp | |
| Jonathan Ellsworth LaBarre | Fifth Third Securities, Inc. |
| Key Investment Services LLC | |
| David Alexander Lange | Lincoln Financial Securities Corp |
| Raymond James Financial Services, Inc. | |
| Edward Beale McLean IV | First Heartland Capital, Inc. |
| New England Securities | |
| Lori Ann Monte | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Morgan Stanley DW Inc. | |
| Ashley Platt | |
| Kamil Z. Rak | Country Capital Management Company |
| German Francisco Rivero-Zerpa | Grenel & Co, LLC |
| Avila Capital Markets, Inc. | |
| Jeffery Alan Schumaker | Transamerica Financial Advisors, Inc. |
| Pruco Securities Corporation | |
| Edward Robert Sitton | Morgan Stanley |
| Raymond James & Associates, Inc. | |
| Frederick Paul Skoda | Country Capital Management Company |
| Kathy Jo Springer-Hesman | Robert W. Baird & Co. Inc. |
| Stifel, Nicolaus & Company, Inc. | |
| Tony Edward Tucker, Jr. | EDI Financial, Inc. |
| Franklin Financial 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.