Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in October 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for October 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 |
| Kayla Jo Brassesco | |
| Aalim Jamaal Brown | NYLife Securities LLC |
| Laura Ann Cava | Wells Fargo Clearing Services, LLC |
| Jessica Marie Franze | |
| Robert William Griffin | Cantella & Co Inc. |
| Cornerstone Investment Services | |
| Stephen Allen Holmes | Voya Financial Advisors, Inc. |
| Ameriprise Financial Services, Inc. | |
| Khalil, Adham Shafik | Allstate Financial Services, LLC |
| Kipp, Stephen Joseph | NPB Financial Group, LLC |
| National Planning Corporation | |
| Craig Gary Langweiler | Windsor Street Capital, LP |
| Meyers Associates LP | |
| Caeron Arlington McClintock | Spartan Capital Securities, LLC |
| Legend Securities, Inc. | |
| Christine Doreen Memet | PNC Investments |
| Chase Investment Services Corp. | |
| Lawrence Lee Olivas Jr. | Wells Fargo Advisors |
| Monica Jean O’Neill | Mutual of Omaha Investor Services, Inc. |
| Thrivent Investment Management Inc. | |
| Vanessa Beth-Anne Reeves-Farry | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Casey Thomas Rodriguez | Arive Capital Markets |
| Chelsea Financial Services | |
| Jessica Rene Sewell | |
| Clint Herrison Stoffels | UBS Financial Services Inc. |
| Anaida Tashchyan | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Harvey Alan Weisenfeld | Allstate Financial Services, LLC |
| Wood Financial Insurance Group Inc. | |
| David Arthur Wismer III | LPL Financial LLC |
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.