FINRA Suspends Registered Individuals in April 2018 for Violations of FINRA Rules

According to FINRA Disciplinary actions for April 2018, 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
Donald Nelson Bower III	Invest Financial Corporation
	Edward Jones
Xavier Dwight Clinton	J. P. Morgan Securities LLC
Geoffrey Bret Davidson	Fidelity Brokerage Services LLC
James Benjamin Farris	Merrill Lynch, Pierce, Fenner & Smith Inc.
	UBS Financial Services Inc.
Miguel Eduardo Guzman	J.P. Morgan Securities LLC
	MA Investments Corp
Melanie Haning	UBS Financial Services Inc.
	Merrill Lynch, Pierce, Fenner & Smith Inc.
Mark Anthony Hernandez	UBS Financial Services Inc.
	Morgan Stanley
Ashley Marie Hostetter
Shawn I Houslin	Merrill Lynch, Pierce, Fenner & Smith Inc.
Spencer Joseph Lassetter	Fidelity Brokerage Services LLC
Abed William Lulu	Worden Capital Management LLC
	Rockwell Global Capital LLC
Gurdev Singh Mann	NYLife Securities LLC
Michael D. McKenny	Country Capital Management Company
	Metlife Securities Inc.
Andrea Marie Milinkovic	PNC Investments
	Suntrust Investment Services, Inc.
Ryan Michael Murnane	Alexander Capital, LP
	Woodstock Financial Group. Inc
Christopher Quocthai Nguyen	TD Ameritrade, Inc
Albert John Papada	Horace Mann Investors, Inc.
Zachary T Rawson	Merrill Lynch, Pierce, Fenner & Smith Inc.
Tyler V. Schultz	MML Investors Services, LLC
	Metlife Securities, Inc.
Brett Michael Williams	NYLife Securities, LLC

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.