Securities Arbitration Lawyers BlogRegistered Individuals Barred by FINRA in June 2018 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for June 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 |
| Donald Nelson Bower III | Edward Jones |
| Invest Financial Corp | |
| Christopher Masharn Bruce | Statefarm VP Management Corp |
| Chris Bruce Insurance Agency | |
| Geoffrey Bret Davidson | Fidelity Brokerage Services LLC |
| Miriam Fry | Wells Fargo Clearing Services, LLC |
| First Clearing, LLC | |
| Melanie Haning | UBS Financial Services Inc |
| Merrill Lync, Pierce, Fenner & Smith Inc | |
| Ashley Marie Hostetter | |
| David Wayne Krumrey | Oppenheimer & Co., Inc |
| Stanford Group Company | |
| Gregory Alan Levine | First Allied Securities, Inc |
| MBM Capital Management | |
| Thomas Williams Manley II | RBC Capital Markets, LLC |
| Lloyds Securities | |
| Gurdey Singh Mann | NYLife Securities LLC |
| Christopher Quocthai Nguyen | TD Ameritrade, Inc |
| WellsFargo Bank | |
| Brett Michael Williams | NY Life Securities LLC |
FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.
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.