Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in May 2018 for Violations of FINRA Rules
According to FINRA Disciplinary actions for May 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 |
| Fernando Enrique Acosta | |
| Paul Anthony Bustamante | Empire Asset Management Company |
| Bishop, Rosen & Co, Inc | |
| Janna L. Carruth-Vogler | |
| Abel Chavez | Farmers Financial Solutions, LLC |
| Thomas Matthew Dunlap | AXA Advisors, LLC |
| Saima Ashraf Durrani | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Joshua David Ellis | LPL Financial LLC |
| BCG Securities, Inc. | |
| Ashley Evans | |
| Samual LaWayne Haddix | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Christopher Lee Hibbard | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America, NA | |
| Shawn I Houslin | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America, NA | |
| Michael Dennis Jackson | Securities America, Inc |
| Brecek & Young Advisors, Inc. | |
| Valbona Keja Keja-Dasilva | Suntrust Investment Services, Inc |
| CCO Investment Services Corp | |
| Shane Jason Kelly | LPL Financial LLC |
| Atlantic Capital Advisors | |
| Keesang John Kim | MML Investors Services, LLC |
| Pruco Securities, LLC | |
| Michael Ray Matos | J.P. Morgan Securities LLC |
| Uriah Eli Mitchell | J.P. Morgan Securities LLC |
| Michael Patrick Nanto | J.P. Morgan Securities LLC |
| Mutual of Omaha Investor Services, Inc. | |
| Frederick Lamar Pearse | J.P. Morgan Securities LLC |
| Anteneh A. Roberts | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America, N.A. | |
| Jeanette Marie Sanchez |
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