Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in August 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for August 2017, 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 |
| Chad Michael Anderson | Farmers Financial Solutions, LLC |
| Nicolas Esteban Arango | Joseph Stone Capital LLC |
| Rockwell Global Capital LLC | |
| Leonardo S. Araujo | TD Ameritrade, Inc. |
| Edward Jones | |
| Michael Biggs | Merrill Lynch, Pierce, Fenner & Smith Inc |
| J.P. Morgan Securities LLC | |
| Steven Eugene Bonner | Principal Securities, Inc. |
| Princor Financial Services Corp | |
| Thomas Joseph Borruso | LPL Financial LLC |
| Rockwell Global Capital, LLC | |
| Shawn Evan Burns | Salomon Whitney Financial |
| Cape Securities Inc. | |
| Brian M. Cain | Edward Jones |
| Primevest Financial Services, Inc. | |
| Jaime Renato Cerda | |
| Steven Gary Dash | Hallmark Investments, Inc. |
| GunnAllen Financial, Inc. | |
| Diane Lee Dubshinski | Cape Securities Inc. |
| 1st Discount Brokerage, Inc. | |
| Christopher Anthony Fernan | Salomon Whitney Financial |
| Rockwell Global Capital LLC | |
| Mark Joseph Flanagan | Citigroup Global Markets Inc. |
| Wells Fargo Advisors, LLC | |
| Yohandy Gonzalez | J.P. Morgan Securities LLC |
| AXA Advisors, LLC | |
| Maria Cecilia Yumang Hoason | J.P. Morgan Securities LLC |
| Bettye Clements Hays | Principal Securities, Inc. |
| MetLife Securities Inc. | |
| David Travis Hicks III | Allstate Financial Services, LLC |
| David Russell Kondracke | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Advest, Inc. | |
| Issei Kubota | Citigroup Global Markets Inc. |
| Danielle Lamb | |
| Shawn Brett Larkin | Fidelity Brokerage Services LLC |
| Dale Anne Luce | RBC Capital Markets, LLC |
| UBS Financial Services Inc. | |
| Jacob Richard Luithle | Pruco Securities, LLC |
| NYLife Securities LLC | |
| Susan V. Magann | |
| Kenneth P. Mulvaney | MHA Financial Corp |
| Sharon Theresa Noonan | Allstate Financial Services, LLC |
| Prudential Securities Inc | |
| Lawrence Lee Olivas, Jr. | Wells Fargo Advisors, LLC |
| Marc Harold Pearl | Wells Fargo Advisors, LLC |
| LPL Financial LLC | |
| Gerald Edward Peterson | Farmers Financial Solutions, LLC |
| Douglas A. Rabess | NYLife Securities LLC |
| Christopher Peter Rose | State Farm VP Management Corp. |
| Florence Santiago | |
| Matthew Patrick Seemann | Wells Fargo Clearing Services, LLC |
| Morgan Stanley Smith Barney | |
| Elizabeth Eunyung Skillman | LPL Financial LLC |
| TD Ameritrade, Inc. | |
| Scott Ellis Stacke | William Blair & Company LLC |
| Jon William Stagnone | Fidelity Brokerage Services LLC |
| State Street Research Investment Services, Inc. | |
| Nancy Todd | |
| Robert C. Tsai | E*Trade Securities LLC |
| TD Ameritrade, Inc. |
Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration 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.