Securities Arbitration Lawyers BlogFINRA Bars Individuals in November 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for Nov 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 |
| Juan C. Alejos | Spartan Capital Securities, LLC |
| Charles Morgan Securities, Inc. | |
| Fontaine Boutwell | Allstate Financial Services, LLC |
| Hornor, Townsend & Kent, Inc. | |
| Matthew Michael Cocco | Metlife Securities Inc. |
| Perry De Leeuw | PFS Investments Inc. |
| Primerica Financial Services | |
| Assan Faal | Stifel, Nicolaus & Company, Inc. |
| Sterne, Agee & Leach, Inc. | |
| Judan Mae Flanagan | J.P. Morgan Securities, LLC |
| Dean Scott Friedman | Syndicated Capital, Inc. |
| Wedbush Morgan Securities Inc. | |
| Bryon Timothy Glime | Capital Investment Group, Inc. |
| Suntrust Investment Services, Inc. | |
| Behnam Halali | Allstate Financial Services, LLC |
| MML Investors Services LLC | |
| Garland Sean James | Garden State Securities, Inc. |
| Global Arena Capital Corp. | |
| Kalid Morgan Jones | Joseph Gunnnar & Co. LLC |
| National Securities Corporation | |
| Vicken Kassouny | J.P. Morgan Securities LLC |
| NYLife Securities LLC | |
| Edward Hyunsoo Kim | Weild & Co. |
| Prudential Securities Inc. | |
| Justin Anthony Krutsinger | PFS Investments Inc. |
| Primerica Financial Services | |
| Tucker Robert Kunkel | |
| Kola Lulgjuraj | J.P. Morgan Securities LLC |
| Rhonda Janeen Mattews | Prospera Financial Services, Inc. |
| Wells Fargo Advisors Financial Network LLC | |
| Jared Howard Morgan | Suntrust Investment Services, Inc. |
| NYLife Securities LLC | |
| Shaun Thomas Nagle | Comprehensive Asset Management and Servicing, Inc. |
| Linsco/Private Ledger Corp. | |
| John Howard Pemberton | Ameriprise Financial Services, Inc. |
| Securities America, Inc. | |
| Barbara E. Rein | |
| Barbara B. Rustici | Avenir Financial Group |
| Rockwell Global Capital LLC | |
| Melba Reyes Talbot | Lifemark Securities Corp. |
| Independent Financial Partments | |
| Jonathan Andrew Trotman | J.P. Morgan Securities LLC |
| Daniel Benjamin Vasquez Sr. | Cetera Advisors LLC |
| Investors Capital Corp. | |
| Martinnette Jeske Witrick | Kota Global Securities Inc. |
| XP Securities, LLC | |
| Hannan Zafar | |
| Lance Jeffrey Ziesemer | Feltl & Company |
| Wachovia 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.