Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules
According to FINRA Disciplinary actions for March 2015, 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 |
| Charles Eric Brown | |
| Omar Campos | LPL Financial LLC |
| Chase Investment Services Corp. | |
| Joseph Edmund Flores De Meneses Jr. | Cor Clearing LLC |
| Direct Access Partners LLC | |
| Dillon M. Edwards | Princor Financial Services Corporation |
| Bethanne Haight | |
| Elon Israel Henek | Sunstreet Securities, LLC |
| EJ Sterling Inc | |
| Jonele Inise Hinton | |
| Jeremy Shawn Hixson | U.S. Bancorp Investments, Inc. |
| FirstMerit Financial Services, Inc | |
| Katherine Farber Lapidoth | Wells Fargo Advisors, LLC |
| Morgan Stanley Smith Barney | |
| Scott Frederick Matthews | Key Investment Services LLC |
| Ameriprise Financial Services, Inc. | |
| Chadrick Alan Moss | Wells Fargo Advisors, LLC |
| Jason Charles Parker | LPL Financial LLC |
| Edward Jones | |
| Melissa Diana Powell | |
| Daniel L. Valdes | Suntrust Investment Services, Inc. |
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.