FINRA Suspends Registered Individuals in August 2017 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for August 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME	FORMER EMPLOYERS
Clifford Eugene Alexander III	Summit Brokerage Services, Inc.
	Cantella & Co., Inc.
Steven Preston Alexander	Citizens Securities, Inc.
	CUNA Brokerage Services, Inc.
Jason Edward Anderson	Wilbanks Securities, Inc.
	Impact Financial Consulting, LLC


Lawrence Allen Banks	PFS Investments Inc.
	EKN Financial Services Inc.
Chad Ryan Barancyk	SII Investments, Inc.
	First Allied Securities, Inc.
Jimmie Dean Canole	LaSalle St. Securities, LLC
	Brewer Financial Services, LLC
Jeremiah Jens Charlson	Wells Fargo Advisors, LLC
	Edward Jones


Matthew DiGregorio	Aegis Capital Corp.
	J.D. Nicholas & Associates, Inc.
Philip Orezio Fatta	Spartan Capital Securities, LLC
	Blackook Capital, LLC
Thomas M. Fayad	Oppenheimer & Co. Inc.
	UBS Financial Services Inc.
Jeanne Michelle Fisher	Summit Brokerage Services, Inc.
	Cantella & Co., Inc.
Gregory Flemming Jr.	Salomon Whitney Financial
	Rockwell Global Capital LLC
Robert Furciato, Jr.	Ameriprise Financial Services, Inc.
	Merrill Lynch, Pierce, Fenner & Smith Inc.
Michael Dennis Hampton	LPL Financial LLC
	Ameriprise Financial Services, Inc.
Jeffrey Scott Ickes	Ameriprise Financial Services, Inc.
	Morgan Stanley Smith Barney
Omar Tyrone Jeanty	Spartan Capital Securities, LLC
	Primary Capital, LLC
Erik Robert Kneip	LPL Financial LLC
	Stratos Wealth Partners
Jerome Scott Krause	First Heartland Capital, Inc.
	Thrivent Investment Management Inc.
Michael Scott Lavolpe	Meyers Associates, L.P.
David William Locy	Brookstone Securities, Inc.
	Archer Alexander Securities Corporation
Elvin J. Lopez	Legend Securities, Inc.
	Worden Capital Management LLC
Mary Helen Caprice Mallett	Independent Financial Group
	Morgan Stanley Smith Barney
Devon Coulin McLean	Questar Capital Corporation
	USAllianz Securities, Inc.
James William Mewborn	Principal Securities, Inc.
	Cambridge Investment Research, Inc.
Clifford Paul Murray, M.D.	Newport Coast Securities, Inc.
	Empire Asset Management Company
Gary Walter Oliphant	Ameriprise Financial Services, Inc.
	Ameriprise Advisor Services, inc.
Clifford Alan Schwartz	Westpark Capital, Inc.
	The GMs Group , LLC
Michael James Terry	Ameriprise Financial Services, Inc.
	Suntrust Investment Services, Inc.
Antony Lee Turbeville	Brookstone Securities, Inc.
	Archer Alexander Securities Corporation
Douglas Stuart Veitch, Sr.	Wilbanks Securities, Inc.
	Woodbury Financial Services, Inc.
Everett Scoville Walker, Jr.
Patrick Justin White, Sr.	Laidlaw & Company (UK) Ltd.
	BlackBook Capital LLC
John Frederick Wolle	Sinclair & Company, LLC
	54 Freedom Securities Inc.

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.