FINRA Disciplinary Actions

Registered Individuals Suspended by FINRA in March 2018 for Failure to Comply with FINRA Rules

April 4, 2018 | Silver Law Group

According to FINRA Disciplinary actions for March 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME	FORMER EMPLOYERS
Kean Lynn Bouplon	Morgan Stanley
Kean Lynn Bouplon	Merrill Lynch, Pierce, Fenner &Smith Inc.
Craig Charles Franzke	PNC Investments
Craig Charles Franzke	NatCity Investments, Inc.
Justin Johnston Harris	Morgan Stanley
Justin Johnston Harris	Wells Fargo Advisors
Steve Morris	Wynston Hill Capital, LLC
Steve Morris	Halcyon Cabot Partners, LTD.
Mark Allan Plummer	Chestnut Exploration Partners, 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.

In March 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules

April 4, 2018 | Silver Law Group

According to FINRA Disciplinary actions for March 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
Benjamin Glasser Aibel	Wunderlich Securities, Inc.
Benjamin Glasser Aibel	Sanders Morris Harris Inc.
Carter Page Brooks	Wells Fargo Clearing Services, LLC
Carter Page Brooks	Edward Jones
Christopher Masharn Bruce	State Farm VP Management Corp
Abel Chaves	Farmers Financial Solutions, LLC
Christian Colon	Ausdal Financial Partners, Inc.
Christian Colon	UBS Financial Services, Inc
Randolph Lee Eddlemon III	Geneos Wealth Management, Inc
Randolph Lee Eddlemon III	Schooner Financial Associates
Carlos Nestor Evertsz-Seda	K.C. Ward Financial
Carlos Nestor Evertsz-Seda	J.P. Turner & Company, LLC
Patrick Jahmar Fearon	J.P. Morgan Securities LLC
Kenneth Taylor Foreman	Securities America, Inc.
Kenneth Taylor Foreman	Foothill Securities, Inc.
Miriam Fry	Wells Fargo Clearing Services, LLC
Miriam Fry	First Clearing, LLC
Sherie Irene Gaunt	Gill Capital Partners
Roy Aurelio Gaytan	Transamerica Financial Advisors, Inc
Roy Aurelio Gaytan	World Group Securities, Inc.
Kevin Richard Graetz	Paulson Investment Company LLC
Kevin Richard Graetz	Roth Capital Partners, LLC
Minish Joe Hede	Paulson Investment Company LLC
Minish Joe Hede	Roth Capital Partners, LLC
Shane Jason Kelly	LPL Financial LLC
Shane Jason Kelly	Suntrust Investment Services, Inc.
Atiq Urrehman Khan	Transamerica Financial Advisors, Inc
Atiq Urrehman Khan	World Group Securities, Inc
Kimberly Pine Kitts	Royal Alliance Associates, Inc.
Kimberly Pine Kitts	Sound Financial, LLC
David Wayne Krumrey	Oppenheimer & Co Inc.
David Wayne Krumrey	Stanford Group Company
Gregory Alan LeVine	First Allied Securities, Inc.
Gregory Alan LeVine	Commonwealth Financial Network
Peter Jack Margaros	State Farm VP Management Corp.
Oscar Nunez	J.H. Darbie & Co. Inc
Oscar Nunez	Blackbrook Capital, LLC
Keisha Diane Pizzo
Eric P. Poague	Edward Jones
Eric P. Poague	Lincoln Financial Advisors Corporation
Vanessa Beth-Anne Reeves-Farry	J.P. Morgan Securities LLC
Vanessa Beth-Anne Reeves-Farry	Chase Investment Services Corp.
Tyler V. Schultz	MML Investor Services, LLC
Tyler V. Schultz	MetLife Securities, Inc.
Luis Alberto Zuniga

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.

FINRA Bars Registered Individuals in March 2018 for Violations of FINRA Rules

April 4, 2018 | Silver Law Group

According to FINRA Disciplinary actions for March 2018, 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
Jesse Baker	Merrill Lynch, Pierce, Fenner &Smith Inc.
Joseph Ryan Costa	Farmer’s Financial Solutions, Inc.
Benjamin Asa Duty	State Farm VP Management Corp
Colleen Elizabeth Flanagan	Fidelity Brokerage Services LLC
Marques Alexander Green	NY Life Securities LLC
Marques Alexander Green	MetLife Securities Inc.
R. Barry Jones	Merrill Lynch, Pierce, Fenner &Smith Inc.
R. Barry Jones	Banc of America Investment Services, Inc.
Deanne M. Lampe	Morgan Stanley
Deanne M. Lampe	Citigroup Global Markets Inc.
Alana Marie Lewis	Edward Jones
Veronica Azucena Lopez	Wells Fargo Advisors, LLC
Veronica Azucena Lopez	Morgan Stanley
Scott Alexander Markle	HD Vest Investment Services
Scott Alexander Markle	LPL Financial LLC
Peter Andrew O’Hara	Charles Schwab & Co, Inc.
Jarrett Powell
Ciro Santoro	Allstate Financial Services, LLC
Ciro Santoro	Equity Services, Inc.
Daniel Richard Shaw	T. Rowe Price Investment Services, Inc.
Simon Boowon Song	AXA Advisors, LLC
Dawei Wang	Merrill Lynch, Pierce, Fenner &Smith Inc.
Dawei Wang	Scottrade, 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

FINRA Names Individuals Barred in February 2018 for Violations of FINRA Rules

March 6, 2018 | Silver Law Group

According to FINRA Disciplinary actions for February 2018, 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
Florjan Beqo	J.P. Morgan Securities LLC
Benjamin Phillip Brown	State Farm VP Management Corp.
Joseph Calascione
Sonya D. Camarco	LPL Financial LLC
Sonya D. Camarco	Morgan Stanley DW Inc.
Samiul Anam Chowdhury	MML Investors Services, LLC
Samiul Anam Chowdhury	NYLife Securities LLC
Argenis T. Cortes	Charles Schwab & Co., Inc.
Argenis T. Cortes	J.P. Morgan Securities LLC
Vincent Frank D’Accardi	Stifel, Nicolaus & Company, Inc
Oscar R. Galdamez	AXA Advisors, LLC
Matthew Douglas Garrett	MML Distributors, LLC
Michael D. Graham	Northwestern Mutual Investment Services, LLC
Kimberlyann Huegel	Vanguard Marketing Corporation
Randall William Hunt	Ameriprise Financial Services, Inc.
Randall William Hunt	Stifel Nicolaus & Company, Inc.
Garrett Dalton Martin	J.P. Morgan Securities LLC
Kevin Allen Mee	J.P. Morgan Securities LLC
Kevin Allen Mee	Wells Fargo Advisors, LLC
Hong Kun Pan	Pruco Securities, LLC
Youngsoo Park	J.P. Morgan Securities LLC
Cornelius Peterson	Morgan Stanley
James S. Polese	Morgan Stanley
James S. Polese	UBS Financial Services Inc.
Gary Dennis Ruiz	Citigroup Global Markets Inc.
Gary Dennis Ruiz	Capital One Investing, LLC
Lynn Shuster Strain	Wells Fargo Clearing Services, LLC
Lynn Shuster Strain	Wells Fargo Advisors LLC
Jamie Yuvonne Stickland	Suntrust Investment Services, Inc.
Jamie Yuvonne Stickland	Wells Fargo Advisors, LLC
Joesph Francis Valdini	Aegis Capital Corp.
Joesph Francis Valdini	Worden Capital Management LLC
Russell L. Woodley	Citizens Securities, 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.

FINRA Disciplinary Actions for February 2018 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules

March 6, 2018 | Silver Law Group

According to FINRA Disciplinary actions for February 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME	FORMER EMPLOYERS
Patrick John Auckland	TIAA-CREF Individual & Institutional Services, LLC
	Morgan Stanley
Michael Albert DiPietro	Transamerica Financial Advisors, Inc.
	Centaurus Financial, Inc.
Laurie Anne Facsina	LPL Financial LLC
	Stratos Wealth Partners, Ltd
Joseph Manuel Focil	Wedbush Securities Inc.
	Wells Fargo Advisors, LLC
Christopher Lee Goslin	Harbor Light Securities, LLC
	J.P. Turner & Company, LLC
Matthew Grady	Millstone Wealth Partners, LLC
	Barclays Capital Inc.
Anthony Minerva	Richard James & Associates, Inc.
	J.D. Nicholas & Associates, Inc.
James William Stanton Jr.	Wells Fargo Advisors, LLC
	MetLife Securities Inc.
Joseph Morris Thurnherr	Spartan Capital Securities, LLC
	Windsor Street Capital, LP
Darren Thomas Walton	Capital Synergy Partners
	Wells Fargo Advisors, 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.

FINRA Suspends Registered Individuals in February 2018 for Violations of FINRA Rules

March 6, 2018 | Silver Law Group

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

FINRA Suspends Registered Individuals in January 2018 for Violations of FINRA Rules

February 6, 2018 | Silver Law Group

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

January 2018 FINRA Disciplinary Actions Name Registered Individuals Suspended for Failing to Comply with FINRA Rules

February 6, 2018 | Silver Law Group

According to FINRA Disciplinary actions for January 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME	FORMER EMPLOYERS
Timothy Clark Bryant	Ameriprise Financial Services, Inc.
Timothy Clark Bryant	Wells Fargo Advisors, LLC
Philip Orezio Fatta	Spartan Capital Securities, LLC
Philip Orezio Fatta	Blackbook Capital, LLC
Lee Allen Jenkins Jr.	Triad Advisors, Inc.
Lee Allen Jenkins Jr.	Wachovia Securities Financial Network, LLC
Rick Douglas Konecny	National Securities Corporation
Rick Douglas Konecny	J.P. Morgan Securities LLC
Michael James McGraw	Morgan Stanley
Michael James McGraw	Wells Fargo Advisors, LLC
Robert A. Perconte	Summit Brokerage Services, Inc.
Robert A. Perconte	Ameriprise Financial Services, Inc.
Philip Anthony Pizelo	Pacific West Securities, Inc.
Philip Anthony Pizelo	Great Northern Financial Securities, Inc.
Michael Luciano Spinali	Morgan Stanley
Michael Luciano Spinali	Edward Jones
Kevin Wayne Taylor	Ameriprise Financial Services, Inc.
Kevin Wayne Taylor	Oppenheimer & Co. Inc.
Gary Mark Zwetchkenbaum	Gilford Securities Incorporated

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.

FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules

February 6, 2018 | Silver Law Group

According to FINRA Disciplinary actions for January 2018, 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:

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.

NAME	FORMER EMPLOYERS
Donald C. Blackwell	Carlton & Associates, Inc.
Donald C. Blackwell	J.P. Turner & Company, LLC
Wayne Earl Cooksey
Adham Shafik Khalil	Allstate Financial Services, LLC
Suhail Saleem Khan	LPL Financial LLC
Suhail Saleem Khan	Kingsview Asset Management LLC
Rick Douglas Konecny	National Securities Corporation
Rick Douglas Konecny	J.P. Morgan Securities LLC
Spencer David Laufer	J.H. Darbie & Co., Inc.
Spencer David Laufer	Joseph Stone Capital LLC
Caeron Arlington McClintock	Spartan Capital Securities, LLC
Caeron Arlington McClintock	Legend Securities, Inc.
Stanley Calvin Pigue	Edward Jones
Jordan Charles Rodden	LPL Financial LLC
Jordan Charles Rodden	Raymond James & Associates, Inc.
Jessica Rene Sewell
Amus Desmond Stevens	J.P. Morgan Securities LLC
Amus Desmond Stevens	Wells Fargo Advisors, LLVC
Anaida Tashchyan	J.P. Morgan Securities LLC
Anaida Tashchyan	WM Financial Services, Inc.
David Arthur Wismer III	LPL Financial LLC
David Arthur Wismer III	American Express Financial Advisors 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.

December 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules

January 12, 2018 | Silver Law Group

According to FINRA Disciplinary actions for December 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME	FORMER EMPLOYERS
Jason N. Anderson	IFS Securities
	Kovack Securities Inc.
Johan Henrik Frisell	Cambridge Investment Research, Inc.
	Capital Wealth Strategies LLC
Deborah E. Greenlee-Keck	Coastal Equities, Inc.
	Wells Fargo Advisors, LLC
Manuel Tomas Paredes	Worden Capital Management LLC
	Spartan Capital Securities, LLC
Phillip Eugene Pistilli	Joseph Stone Capital LLC
	Spartan Capital Securities, LLC
Charles Courtney Sandoval	Allstate Financial Services, LLC
	SII Investments, 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.