Securities Arbitration Lawyers BlogIn August 2017, FINRA Barred Registered Individuals for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for August 2017, 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 |
| Dimitris Alifragis | |
| Alonza Barnett, Jr. | Ameritas Investment Corp. |
| Dachtler Wealth Management | |
| Amalia Bocanegra | |
| Christopher Canale | |
| Nenita Blas Causing | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Wilson Chung | J.P. Morgan Securities LLC |
| Kenneth Paul Collins, Jr. | Union Capital Company |
| Money Concepts Capital Corp | |
| Laura Johnson Craven | State Farm VP Management Corp. |
| Sebastian Joshua Dimond | Vanguard Marketing Corporation |
| Wells Fargo Investments, LLC | |
| Edwin Waite Duguie, Jr. | |
| Megan Eilers | Wells Fargo Advisors, LLC |
| First Clearing, LLC | |
| Felicia Anne Figueroa | |
| Nicholas C. Gallo | Cova Capital Partners LLC |
| Legend Securities, Inc. | |
| David Monroe Hawkes | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Richard Michael Jones | NYLife Securities LLC |
| Israel Jurkevicz | J.P. Morgan Securities LLC |
| Tika Justice | |
| Jeffrey Timothy Kluge | Merrill Lynch, Pierce, Fenner & Smith Inc |
| John Bradford Leonard | Wells Fargo Advisors |
| Wachovia Securities, LLC | |
| Jonathan Ryan Levano | J.P. Morgan Securities LLC |
| Christopher Russell McNamee | Dakota Securities International, Inc, |
| Sterling Financial Investment Group , Inc. | |
| Rachel Marie Millyard | Infinex Investments, Inc. |
| Essex National Securities, LLC | |
| Shayne Arlington Nelson | J.P. Morgan Securities LLC |
| David Ng | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Wells Fargo Securities, LLC | |
| Darian Curtis Norris | Wells Fargo Advisors, LLC |
| Northwestern Mutual Investment Services, LLC | |
| Patrick John O’Brien | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Vivien Li Ching Ong | J.P. Morgan Securities LLC |
| Olateju Samson Oyeniyi | |
| Robert A. Perconte | Summit Brokerage Services, Inc. |
| Ameriprise Financial Services, Inc. | |
| Edward Daniel Prudencio | BBVA Securities Inc. |
| J.P. Morgan Securities LLC | |
| Raymond Jesus Rodriguez | |
| William Edward Roe | Park Avenue Securities LLC |
| Crowell, Weedon & Co. | |
| Nicholas Adel Somo | J.P. Morgan Securities LLC |
| Michael Allen Sparks | J.J.B. Hillard, W.L. Lyons, LLC |
| DMG Securities, Inc. | |
| Alec Michael Tracy | J.P. Morgan Securities LLC |
| MMC Securities Crop. | |
| Justin Martin West | J.P. Morgan Securities 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.