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FINRA Bars Individuals in April 2016 for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for April 2016, 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
  Thomas Edward Andrews   LPL Financial LLC
  Ryan Jerry Attenson   Merrill Lynch, Pierce, Fenner & Smith, Inc.
  Wells Fargo Advisors, LLC
  John H. Berry   Crown Capital Securities, LP
  LPL Financial LLC
  Keith Joseph Bettex   Pruco Securities, LLC
  Ricardo Athelstone Broome   Chelsea Financial Services
  Woodstock Financial Group, Inc.
  Thomas Buono   Park Avenue Securities
  Henry Kimtong Chang   Cetera Advisor Networks LLC
  Financial Network Investment Corp.
  Veronica A. Deese   The Vanguard Group, Inc.
  Aaron Alexander Fauntleroy   IMCA Retirement Corporation
  Larry Gordon Goldston   Caprock Securities, Inc.
  Morgan Stanley DW Inc.
  Rogelio Fernando Guevara   Northwestern Mutual Investment Services, LLC
  Gregory Kieth Hines, Jr.   The Huntington Investment Company
  Chase Investment Services Corp.
  Warren Scott Koch   J.P. Morgan Securities, LLC
  Chase Investment Services Corp.
  Tiffany K. Le   J.P. Morgan Securities, LLC
  Chase Investment Services Corp.
  Sergio D. Lopez   MML Investors Services, LLC
  NYLife Securities, LLC
  Gary James Lundgren   Interpacific Investors Services, Inc.
  Global Finance & Investment Company
  Chakkin Tony Mok   Cetera Financial Specialists LLC
  Hochman & Baker Securities, Inc.
  April Christine Morris-Spicer   Wunderlich Securities, Inc.
  Lincoln Investment
  Samuel Sean Nelson   Waddell & Reed, Inc.
  Hai Yan Ni   T. Rowe Price Investment Services, Inc.
  HSBC Securities (USA) Inc.
  Bernard Mark Parker   Edward Jones
  Beaconsfield Financial Services, Inc.
  Sean David Portnoy   Nobles & Richards, Inc.
  Sethi Financial Group
  Samantha Raeshawn Raines   Fidelity Brokerage Services, LLC
  Royal Vance Keith Charles Reynolds III   Pruco Securities, LLC
  William Victor Siegel   Morgan Stanley & Co, Inc.
  Citigroup Global Markets, Inc.
  Abel Gaim Teklai   Key Investment Services, LLC
  Angelos Stephen Tsigounis   Stifel, Nicolaus & Company, Inc.
  VFinance Investments, Inc.
  Makiasa Donyell Turner   Allstate Financial Services, LLC
  Joseph Arnold Weber   Farmers Financial Solutions, LLC
  Teule S. Williams   J.P.  Morgan Securities, LLC
  Chase Investment Services Corp.

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.

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