According to FINRA Disciplinary actions for February 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 |
| Walter Lee Clark | Wilmington Capital Securities, LLC |
| Adirondack Trading Group LLC | |
| Chelsea Lauren Clemons-Denby | |
| Ethan Frederick Daubert | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors, LLC | |
| Truitt Scott Ficklin | Cetera Investment Services LLC |
| Edward Jones | |
| Philip William Formwalt | Woodmen Financial Services, Inc. |
| Lawrence E. Hagedorn | The O.N. Equity Sales Company |
| Ohio National Financial Services | |
| Raymond Woody Hooker | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Brian Patrick Hurley | MML Investors Services, LLC |
| NYLife Securities LLC | |
| Lindsey Marie Katula | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors, LLC | |
| Jason Harris Klabal | Alexander Capital, L.P. |
| Legend Securities, Inc. | |
| Richard James Murphy | Tullett Prebon Financial Services LLC |
| Citation Financial Group, L.P. | |
| James Albert Pettit | Ameriprise Financial Services, Inc. |
| Janney Montgomery Scott LLC | |
| Michael Alan Sadouskas | Allstate Financial Services, LLC |
| John Greg Schmidt | Wells Fargo Advisors Financial Network, LLC |
| Stifel, Nicolaus & Company, Inc. | |
| John Joseph Silvernale | HD Vest Investment Services |
| Casey Tyler Thompson | Allstate Financial Services, LLC |
| Northwestern Mutual Investment Services, LLC | |
| Aaron Bronelle Wilbanks | Wilbanks Securities, Inc. |
| Birchtree Financial Services, Inc. | |
| Sara Wilhite | PFS Investments Inc. |
| Primerica Financial Services | |
| Bradley Curtis Williams | J.P. Morgan Securities LLC |
| Invest Financial Corporation | |
| Brandon M. Williams | BMO Harris Financial Advisors, Inc. |
| Northwestern Mutual Investment Services, LLC |
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.