Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in February 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for February 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 |
| Joe L. Buckner | Brazos Securities, Inc. |
| Maplewood Securities, Inc. | |
| Adam Douglas Carrol | The Leaders Group, Inc. |
| Metlife Securities, Inc. | |
| Dennis Fitzgerald Davis | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Stevaun I. Davis | |
| Theodore Garrity | Feltl & Company |
| Morgan Stanley & Co, Inc. | |
| Tony Sand Jung | MML Distributors, LLC |
| Morgan Stanley Smith Barney | |
| Andreas Stavros Kentrotas | Morgan Stanley Smith Barney |
| Citigroup Global Markets, Inc. | |
| Jay Max Mabry | Park Avenue Securities |
| Regal Investment Advisors, LLC | |
| Joseph Anthony Mele | |
| Eugene Theodore Smietana | LPL Financial, LLC |
| Prudential Securities, Inc. | |
| John Howard Towers | VSR Financial Services, Inc. |
| Personal Wealth Advisors, LLC | |
| Jacqueline Lee Vadala | Craig Scott Capital, LLC |
| Rockwell Global Capital, LLC | |
| Kenneth Robert Wooden | Edward Jones |
| 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.