Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in August 2018 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for August 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 |
| Lindsey Brown | |
| Michael Dalton | Charles Schwab & Co., Inc |
| William Downing | Coastal Equities, Inc. |
| J.W. Cole Financial, Inc. | |
| James Flynn | IFS Securities |
| VOYA Financial Advisors, Inc | |
| Keven Gayle | NY Life Securities LLC |
| Lloyd Johnston | Capital Financial Services, Inc |
| Legacy Financial Services, Inc | |
| John Kurzhal | UBS Financial Services Inc |
| Beatriz Lira | State Farm VP Management Corp |
| Beatriz Lira Insurance Company | |
| Cristhelle Medina | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Bradley Pace | LPL Financial LLC |
| A.J. Pace & Co, Inc. | |
| Ivan Reyes | Alexander Capital, L.P. |
| Craft Capital Management LLC | |
| David Rodgers | Allstate Financial Services, LLC |
| Rodgers Capital Management | |
| Michael Sekusky | |
| Jimmy Tran | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Anthony Valois | PHX Financial, Inc |
| Meyers Associates, L.P. | |
| James Ward | Northwestern Mutual Investment Services, 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.