Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in April 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for April 2017, the following individuals were suspended 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 |
| Miguel Anel Aguilar | MML Investors Services, LLC |
| Northwestern Mutual Investment Services, LLC | |
| Steven Preston Alexander | Citizens Securities, Inc. |
| CUNA Brokerage Services, Inc. | |
| Jared Cody Artho | J.P. Morgan Securities LLC |
| Amadou Bah | Maxim Group LLC |
| Garden State Securities, Inc. | |
| Michael W Benjamin | State Farm VP Management Corp. |
| John W. Boals | Allstate Financial Services, LLC |
| Lionel Brooks Jr. | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Oppenheimer & Co. Inc. | |
| Amanda Yvette Burnett | Invest Financial Corporation |
| Sandra Canaba | LPL Financial LLC |
| Chase Investment Services Corp. | |
| Joni Carrera | |
| Barry Franklin Connell | Morgan Stanley |
| UBS Financial Services Inc. | |
| Pamela A. Daniels | |
| Charles Greer Denormandie III | Commonwealth Financial Network |
| Ameriprise Financial Services, Inc. | |
| Leah Rose Fox-Greenberg | |
| Jennifer Marie Gonzalez | |
| Chad Daniel Hornaday | AXA Advisors, LLC |
| National Planning Corporation | |
| Stephen Johnathan Hoshimi | Crescent Securities Group, Inc. |
| Capwest Securities, Inc. | |
| Matthew J. Houtz | Raymond James & Associates, Inc. |
| Jennifer Rebecca Johnson | Ameriprise Financial Services, Inc. |
| Edward Jones | |
| Adam Anthony Jurczyk | J.P. Morgan Securities LLC |
| John James Joseph Labrie | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Alexander Lewis | Northwestern Mutual Investment Services LLC |
| Derek James Longmuir | Advisors Asset Management, Inc. |
| First Trust Portfolios LP | |
| Elijah Robert Maldonado | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| David K. Mallett | Wunderlich Securities, Inc. |
| Stephens Inc. | |
| Raymond Edward Martin | |
| Quinn Alexander McClendon | Citizens Securities, Inc. |
| Mutual of Omaha Investor Services, Inc. | |
| Luan Quoc Nguyen | Pruco Securities, LLC |
| Andrew Michael Pritchard | Pruco Securities, LLC |
| Timothy John Reed | Suntrust Investment Services, Inc. |
| Wells Fargo Advisors, LLC | |
| Steven Barry Sitzer | Dinosaur Securities, LLC |
| Spartan Capital Securities, LLC | |
| Raynard Keshav Sookdial | PFS Investments Inc. |
| Quynh Ngoc Tran | J.P. Morgan Securities LLC |
| Nathan Robert Trodahl | State Farm VP Management Corp. |
| 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. | |
| William Brian Wyman | Ameriprise Financial Services, Inc. |
| Royal Alliance Associates, Inc. | |
| Kevin Jin Yi | Voya Financial Advisors, Inc. |
| James Seokhoon Yoon | J.P. Morgan Securities LLC |
| Young Min Yun |
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.