Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in January 2016
According to FINRA Disciplinary actions for January 2016, 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 |
| Raymond Aleksey | Wells Fargo Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Matthew C. Ashton | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Ryan Jerry Attenson | Merrill Lynch, Pierce, Fenner & Smith, Inc. |
| Wells Fargo Advisors, LLC | |
| Azim, Kamran | The Huntington Investment Company |
| Tiffany Dawn Bee | |
| Keith Joseph Bettex | Pruco Securities, LLC |
| F.N. Wolf & Co., Inc. | |
| Bruce Scott Birke | Accelerated Capital Group |
| Crown Capital Securities, L.P. | |
| Toby Blackwood | PFS Investments Inc. |
| Angela K. Blaylock | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Benjamin Jon Brown | State Farm VP Management Corp. |
| American Express Financial Advisors Inc. | |
| Thomas Anthony Cammarano | LPL Financial LLC |
| Associated Securities Corp. | |
| Brian Andrew Dunn | Robert W. Baird & Co. Inc. |
| Citigroup Global Markets Inc. | |
| Robert Blake Ellender | Invesco Distributors, Inc. |
| John Hancock Funds, LLC | |
| Susan Ann Ericson | UBS Financial Services Inc. |
| Jose L. Espinoza | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Aaron Alexander Fauntleroy | ICMA-RC Services, LLC |
| Craig Steven Ferraro | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Michael W. Finn | Merrill Lynch, Pierce, Fenner & Smith |
| Alain J. Florestan | Caldwell International Securities |
| Brookstone Securities, Inc. | |
| Robert Joseph Gray | Allstate Financial Services, LLC |
| Kyle Brockman Greene | J.P. Morgan Securities LLC |
| Larry Phillip Harvey, Jr. | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Christopher Hermiz | J.P. Morgan Securities LLC |
| Gregory Kieth Hines, Jr. | The Huntington Investment Company |
| Chase Investment Services Corp. | |
| Steve Everett Hinrichs | State Farm VP Management Corp. |
| Richard Allen Isgrig | Northwestern Mutual Investment Services, LLC |
| Robert W. Baird & Co. Inc. | |
| Brian Grayson Kidder | High Point Capital Group, Inc. |
| Delaney Equity Group LLC | |
| Warren Scott Koch | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Matthew Lawrence Lalonde | Buckman, Buckman & Reid, Inc. |
| LPL Financial LLC | |
| Kathleen Mary Loney | LPL Financial LLC |
| Mutual Service Corporation | |
| James Joseph McCarron III | J.P. Turner & Company, LLC |
| QA3 Financial Corp. | |
| Samuel Ryan McClain | Northwestern Mutual Investment Services, LLC |
| Marco A. Mendoza | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Vincent Joseph Menello, Jr. | |
| Jason Scott Miller | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Chakkin Tony Mok | Cetera Financial Specialists LLC |
| Hochman & Baker Securities, Inc. | |
| Elizabeth Ann Monge | Lincoln Financial Advisors Corporation |
| Valic Financial Advisors, Inc. | |
| Samuel Sean Nelson | Waddell & Reed |
| Hai Yan Ni | T. Rowe Price Investment Services, Inc. |
| HSBC Securities (USA) Inc. | |
| Darlene Byrd Page | Morgan Stanley |
| UVest Financial Services Group, Inc. | |
| Bernard Mark Parker | Edward Jones |
| Beaconsfield Financial Services, Inc. | |
| Christopher A. Parris | Nationwide Securities, Inc. |
| NYLife Securities, Inc. | |
| Benjamin John Pritchett | Wells Fargo Adviosrs, LLC |
| Investors Capital Corp. | |
| Francis Anthony Jason Punsalan | J.P. Morgan Securities LLC |
| Ebony C. Ranson | |
| Toni Leynett Robertson | Caprock Securities, Inc. |
| Investment Professionals, Inc. | |
| Carmie Lynn Shifflett | Citigroup Global Markets Inc. |
| Citicorp Investment Services | |
| William Victor Siegel | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| John Larry Simpson | Princor Financial Services Corporation |
| Avalon Investment & Securities Group, Inc. | |
| Robert Jay Snider | Thrivent Investment Management Inc. |
| Renate Barbel Sterrett | LPL Financial LLC |
| Investacorp, Inc. | |
| Abel Gaim Taklai | Key Investment Services LLC |
| Vladimir Tingue | Scottrade, Inc. |
| J.P. Morgan Securities LLC | |
| Leonard Toth | Pruco Securities, LLC |
| Jean Ann Walsh-Josephson | Thrivent Investment Management Inc. |
| Joseph Arnold Weber | Farmers Financial Solutions, LLC |
| Equico Securities, Inc. | |
| Teule S. Williams | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Robin Michelle Wolfgram | Cetera Advisors LLC |
| Foothill Securities, Inc. | |
| Jamie Reid Zimmerman |
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.