Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules
According to FINRA Disciplinary actions for October 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 |
| Modesto Biney | Wells Fargo Advisors, LLC |
| Michael Joseph Cassano | Metlife Securities Inc. |
| Eduardo Jhonattan Chacon Melgarejo | J.P. Morgan Securities LLC |
| Alisha Chahal | |
| Johnnie L. Christopher Jr. | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Ina E. Collazo | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Stephen Anthony Dalla Torre | PNC Investments |
| Wachovia Securities, LLC | |
| Andrea Lynn Fayette | |
| Alain J. Florestan | Caldwell International Securities |
| Brookstone Securities, Inc. | |
| Ricardo Francois | Caldwell International Securities |
| PHD Capital | |
| Honetta C. Kao | Meyers Associates, L.P. |
| Caldwell International Securities | |
| Sean Thomas Lopez | J.P. Morgan Securities LLC |
| Albert Manzo | J.P. Morgan Securities LLC |
| Andrew Marzec | Newbridge Securities Corporation |
| Global Arena Capital Corp | |
| Richard Allen McGuire | Newport Coast Securities, Inc. |
| Financial West Group | |
| Frederick Eugene Monroe Jr. | Voya Financial Advisors, Inc. |
| Northwestern Mutual Investment Services | |
| Mary Pearl Reed | Wells Fargo Advisors, LLC |
| Morgan Stanley DW Inc. | |
| Jessica Claire Sampel | |
| Matthew J. Semetulskis | J.P. Morgan Securities LLC |
| Grace W. Smith | TIAA-CREF Individual & Institutional Services, LLC |
| Wells Fargo Advisors, LLC | |
| Michael Terrence Snedeker | Investors Capital Corp. |
| Banc of America Investment Services, Inc. | |
| James Coleman Starks | Caldwell International Securities |
| PHD Capital | |
| Marat Zeltser aka Matt Zeltser | Meyers Associates, L.P. |
| Caldwell International Securities |
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.