Securities Arbitration Lawyers BlogIn December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules
According to FINRA Disciplinary actions for December 2017, 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 |
| Helle Romer Bannister | HighTower Advisors, LLC |
| J.P. Morgan Securities, LLC | |
| Kayla Jo Brassesco | |
| Aalim Jamaal Brown | NYLife Securities LLC |
| Laura Ann Cava | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors LLC | |
| Wesley Claflin | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Brett Allen DeFore | Raymond James & Associates, Inc. |
| Morgan Keegan & Company, Inc. | |
| Jessica Marie Franze | |
| Edward Kenneth Frost | Western International Securities, Inc. |
| GBS Financial Corp. | |
| Charles Edwin Garrison | Davenport & Company LLC |
| Robert Constantine Gray | Farmers Financial Solutions, LLC |
| Leanna Greene | State Farm VP Management Corp. |
| Robert William Griffin | Cantella &Co., Inc. |
| Cornerstone Investment Services | |
| Stephen Allen Holmes | Voya Financial Advisors, Inc. |
| Ameriprise Financial Services, Inc. | |
| Stephen Joseph Kipp | NPB Financial Group, LLC |
| Kipp Financial Group, Inc. | |
| Craig Gary Langweiler | Windsor Street Capital, LP |
| Meyers Associates LP | |
| Matthew M. McDonagh | Osprey Partners LLC |
| Cabot Lodge Securities LLC | |
| Christine Doreen Memet | PNC Investments |
| Chase Investment Services Corp. | |
| Terry Mark Mlodzik | UBS Financial Services Inc. |
| Monica Jean O’Neill | Mutual of Omaha Investors Services, Inc. |
| Thrivent Investment Management, Inc. | |
| Carlos Antonio Rodriguez | UBS Financial Services Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Casey Thomas Rodriguez | Arive Capital Markets |
| Chelsea Financial Services | |
| David Edward Smith | The Huntington Investment Company |
| Clint Herrison Stoffels | UBS Financial Services Inc. |
| Harvey Alan Weisenfeld | Allstate Financial Services, LLC |
| Wood Financial Insurance Group 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.