Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in June 2018 for Violations of FINRA Rules
According to FINRA Disciplinary actions for June 2018, 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 |
| Mona Ali | JP Morgan Securities |
| Bobbie Jo Bressler | Farmers Financial Solutions, LLC |
| State Farm VP Management Corp | |
| Jeffrey Scott Cederberg | Primex |
| Capwest Securities, Inc | |
| Gregory James Connell | |
| Vicente Davila | Morgan Stanely |
| Merill Lynch, Pierce, Fenner & Smith Inc | |
| Miguel Eduardo Guzman | JP Morgan Securities LLC |
| MA Investment Corp | |
| John Matthew Kurzhal | UBS Financial Services Inc. |
| John Cochran Maccoll | UBS Financial Services Inc. |
| Morgan Stanley DW Inc | |
| Cynthia Mae Moore | The Huntington Investment Company |
| Felipe De Jesus U Munive | Allstate Financial Services, LLC |
| Gordon Beecher Nitka | MML Investors Services, LLC |
| MassMutual Life Insurance Company | |
| Daniel Ochoa | Farmers Financial Solutions, LLC |
| Joshua Alexander Stephens-Anselm | JP Morgan Securities LLC |
| Capital One Bank NA | |
| John Bradford Stoddard | Fidelity Brokerage Services LLC |
| Zions Bank | |
| Christopher Robert Threet | JP Morgan Securities LLC |
| Capital One Bank | |
| David Wells | |
| Yuhong Zhou | Transamerica Financial Advisors, Inc |
| World Financial 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.