Securities Arbitration Lawyers BlogFINRA 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.