Securities Arbitration Lawyers BlogFINRA Names Individuals Barred in February 2018 for Violations of FINRA Rules
According to FINRA Disciplinary actions for February 2018, 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 |
| Florjan Beqo | J.P. Morgan Securities LLC |
| Benjamin Phillip Brown | State Farm VP Management Corp. |
| Joseph Calascione | |
| Sonya D. Camarco | LPL Financial LLC |
| Morgan Stanley DW Inc. | |
| Samiul Anam Chowdhury | MML Investors Services, LLC |
| NYLife Securities LLC | |
| Argenis T. Cortes | Charles Schwab & Co., Inc. |
| J.P. Morgan Securities LLC | |
| Vincent Frank D’Accardi | Stifel, Nicolaus & Company, Inc |
| Oscar R. Galdamez | AXA Advisors, LLC |
| Matthew Douglas Garrett | MML Distributors, LLC |
| Michael D. Graham | Northwestern Mutual Investment Services, LLC |
| Kimberlyann Huegel | Vanguard Marketing Corporation |
| Randall William Hunt | Ameriprise Financial Services, Inc. |
| Stifel Nicolaus & Company, Inc. | |
| Garrett Dalton Martin | J.P. Morgan Securities LLC |
| Kevin Allen Mee | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Hong Kun Pan | Pruco Securities, LLC |
| Youngsoo Park | J.P. Morgan Securities LLC |
| Cornelius Peterson | Morgan Stanley |
| James S. Polese | Morgan Stanley |
| UBS Financial Services Inc. | |
| Gary Dennis Ruiz | Citigroup Global Markets Inc. |
| Capital One Investing, LLC | |
| Lynn Shuster Strain | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors LLC | |
| Jamie Yuvonne Stickland | Suntrust Investment Services, Inc. |
| Wells Fargo Advisors, LLC | |
| Joesph Francis Valdini | Aegis Capital Corp. |
| Worden Capital Management LLC | |
| Russell L. Woodley | Citizens Securities, 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.