According to FINRA Disciplinary actions for January 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 |
| Jesse Baker | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Joseph Ryan Costa | Farmers Financial Solutions, LLC |
| Ethan Frederick Daubert | Wells Fargo Clearing Services, LLC |
| Deborah Ann Day | Triad Advisors, Inc. |
| Royal Hutton Securities Corp. | |
| Matthew Evan Eckstein | Sisk Investments Services, Inc. |
| Gould, Ambroson & Associates | |
| Colleen Elizabeth Flanagan | Fidelity Brokerage Services LLC |
| Roy Aurelio Gaytan | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Marques Alexander Green | NYLife Securities LLC |
| MetLife Securities, Inc. | |
| R. Barry Jones | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Banc of America Investment Services, Inc. | |
| Atiq Urrehman Khan | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Deanne M. Lampe | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Veronica Azucena Lopez | Wells Fargo Advisors, LLC |
| Morgan Stanley | |
| Scott Alexander Markle | HD Vest Investment Services |
| LPL Financial LLC | |
| Oscar Nunez | J.H. Darbie & Co., Inc. |
| Blackbook Capital, LLC | |
| Jay Anthony Pandy-Tatum | Charles Schwab & Co., Inc. |
| JP Morgan Chase | |
| Jarrett Powell | |
| Ciro Santoro | Allstate Financial Services, L LC |
| Equity Services, Inc. | |
| Daniel Richard Shaw | T. Rowe Price Investment Services, Inc. |
| Larry Charles Wolfe | Stoever, Glass & Company Inc. |
| Aegis Capital 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.