Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals In January 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for January 2017, 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 |
| Kristen Denys Bartley | Morgan Stanley Smith Barney |
| Touchstone Securities, Inc. | |
| Jasper Eugene Boykin Jr. | MetLife Securities Inc. |
| Quest Capital Strategies, Inc. | |
| Kathy Campos | |
| Louis Vincent Fontanella Jr. | Allstate Financial Services, LLC |
| David Lerner Associates, Inc. | |
| Yohandy Gonzalez | J.P. Morgan Securities LLC |
| AXA Advisors LLC | |
| Michael P. Gopie | AXA Advisors LLC |
| Bank of America, NA | |
| Dennis Dewain Hern | Ameriprise Financial Services Inc. |
| First Command Financial Planning INc. | |
| Bao Tran Dinh Hoang | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Christopher Wayne Hunt II | |
| Kyle Ryan Kurtz | Thrivent Investment Management Inc. |
| Lutheran Brotherhood Securities Corp. | |
| Reginald Lewis McCarthy | Horace Mann Investors, Inc. |
| Allstate Financial Services LLC | |
| Caleb Layton Morris | Country Capital Management Company |
| Country Insurance and Financial Services | |
| Brian Patrick Murphy | Signator Investors, Inc. |
| MetLife Securities Inc. | |
| Wesley Marion Oler IV | LPL Financial LLC |
| Global Retirement Partners | |
| Raymond John Pirrello Jr. | Garden State Securities Inc. |
| The Concord Equity Group, LLC | |
| Richard Byron Raff | Infinex Investments, Inc. |
| M&F Bank/UVest Financial Services | |
| Gary Harland Sisler Jr. | Morgan Stanley Smith Barney |
| Northwestern Mutual Investment Services LLC | |
| Jay Steven Sutherland | Ameriprise Financial Services Inc. |
| Wells Fargo Advisors LLC | |
| Quyen Trong Tran | UnionBanc Investments Services LLC |
| Joe Don Treece | Arvest Wealth Management |
| Raymond James & Associates, Inc. |
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.