Securities Arbitration Lawyers BlogFINRA Disciplinary Actions for April 2018 Name Individuals Barred for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for April 2018, 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 |
| Chelsea Lauren Clemons-Denby | |
| Deborah Ann Day | Triad Advisors |
| Royal Hutton Securities Corp | |
| Truitt Scott Ficklin | Cetera Investment Services LLC |
| Edward Jones | |
| Phillip William Formwalt | Woodmen Financial Services |
| Kevin Richard Graetz | Paulson Investment Company |
| Roth Capital Partners, LLC | |
| Lawrence E. Hagedorn | The O.N. Sales Company |
| Securian Financial Services, Inc. | |
| Minish Joe Hede | Paulson Investment Company LLC |
| Roth Capital Partners, LLC | |
| Raymond Woody Hooker | J.P. Morgan Securities |
| Chase Investment Services Corp | |
| Brian Patrick Hurley | MML Investors Services, LLC |
| NYLife Securities | |
| Lindsey Marie Katula | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors, LLC | |
| Jason Harris Klabal | Alexander Capital, L.P. |
| Legend Securities, Inc. | |
| Richard James Murphy | Tullett Prebon Financial Services LLC |
| Citation Financial Group, L.P. | |
| Michael Alan Sadouskas | Allstate Financial Services, LLC |
| John Joseph Silvernale | HD Vest Investment Services |
| Casey Tyler Thompson | Allstate Financial Services, LLC |
| Northwestern Mutual Investment Services, LLC | |
| Sara Wilhite | PFS Investments Inc. |
| Primerica Financial Services | |
| Brandon M. Williams | BMO Harris Financial Advisors, Inc. |
| Northwestern Mutual Investment Services, LLC | |
| Larry Charles Wolfe | Stoever, Glass & Company Inc. |
| Aegis Capital 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.