Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals for Violations of FINRA Rules
According to FINRA Disciplinary actions for December, 2014, 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 |
| Bryan Wayne Anderson | Pruco Securities, LLC |
| Metlife Securities Inc. | |
| Byron Ray Claflin | Pruco Securities, LLC |
| Courtney Lamant Crusoe | |
| William Stanley David | Edward Jones |
| Tauber Lawrence Emmings | Cambridge Investment Research, Inc. |
| Gunnallen Financial, Inc. | |
| Michael Melvin Frazier | Princor Financial Services Corporation |
| The Prudential Insurance Company of America | |
| Arsen A. Gaboyan | JP Morgan Securities LLC |
| Chase Investment Services Corp. | |
| William Joseph Gaspar | Harbour Investments, Inc. |
| Allied Beacon Partners, Inc. | |
| Theresa Rene Harfoot | Fidelity Brokerage Services LLC |
| Akshay Balakrishna Hegde | National Securities Corporation |
| VFinance Investments, Inc. | |
| Erik Lawrence Hockenberry | LPL Financial LLC |
| Ameriprise Financial Services, Inc. | |
| Jeffrey Einer Lewis | HD Vest Investment Services |
| Patricia S. Miller | Investors Capital Corp. |
| Janney Montgomery Scott LLC | |
| James Ward Noble | Terminus Securities, LLC |
| Devlin Wayne Osburn | Unionbanc Investment Services, LLC |
| LPL Financial LLC | |
| Stephen Eldridge Ridgely II | Ameriprise Financial Services, Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Andrea Sanchez | NSM Securities, Inc. |
| Max International Broker/Dealer Corp. | |
| Monica L. Smith | |
| Hope Renee Thomas | Invest Financial Corporation |
| 1784 Investor Services, Inc. | |
| Julia Luisa Volkman | Northwestern Mutual Investment Services, LLC |
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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.