Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in July 2017 for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for July 2017, 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 |
| Ricardo Alonzo, Jr. | |
| Jared Cody Artho | JP Morgan Securities LLC |
| Michael W. Benjamin | State Farm VP Management Corp |
| David William Beutler | Wells Fargo Advisors, LLC |
| Prudential Securities Inc | |
| Amanda Yvetter Burnett | Invest Financial Corporation |
| Joni Carrera | |
| Charles Maxwell Cox | Wells Fargo Advisors, LLC |
| Chase Investment Services Corp | |
| Aryton Pierce Haddad | TD Ameritrade, Inc. |
| E*Trade Securities LLC | |
| Scott William Hartman | Morgan Stanley |
| Encore Financial Advisors, LLC | |
| Chad Daniel Hornaday | AXA Advisors, LLC |
| National Planning Corporation | |
| John James Joseph Labrie | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Derek James Longmuir | Advisors Asset Management, Inc. |
| First Trust Portfolios LP | |
| Elijah Robert Maldonado | JP Morgan Securities LLC |
| Chase Investment Services Corp. | |
| David K. Mallet | Wunderlich Securities, Inc. |
| Stephens Inc. | |
| Raymond Edward Martin | |
| Richard Muzquiz Jr. | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Andrew Michael Pritchard | Pruco Securities, LLC |
| Michael Jason Ripper | International Assets Advisory, LLC |
| LPL Financial LLC | |
| Teresita Santos Santos | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Bimal Kishore Shah | Independent Financial Group, LLC |
| WRP Investments Inc. | |
| Cory Ward Taylor | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Nathan Robert Trodahl | State Farm VP Management Corp. |
| Xin Wang | JP Morgan Securities LLC |
| Daniel L. Waters | Fidelity Brokerage Services LLC |
| Sherman Marcel White | Wayne Hummer Investments LLC |
| US Bancorp Investments, Inc. | |
| Brian Scot Winchester | Securities America, Inc. |
| Sunset Financial Services, Inc. | |
| Matthew Edward Witkowski | Vanguard Marketing Corporation |
| Edward Jones | |
| William Brian Wyman | Ameriprise Financial Services, Inc. |
| Royal Alliance Associates, Inc. | |
| James Seokhoon Yoon | JP Morgan 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.