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

According to FINRA Disciplinary actions for January 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
Jesse Baker	Merrill Lynch, Pierce, Fenner & Smith Inc.
Joseph Ryan Costa	Farmers Financial Solutions, LLC
Ethan Frederick Daubert	Wells Fargo Clearing Services, LLC
Deborah Ann Day	Triad Advisors, Inc.
	Royal Hutton Securities Corp.
Matthew Evan Eckstein	Sisk Investments Services, Inc.
	Gould, Ambroson & Associates
Colleen Elizabeth Flanagan	Fidelity Brokerage Services LLC
Roy Aurelio Gaytan	Transamerica Financial Advisors, Inc.
	World Group Securities, Inc.
Marques Alexander Green	NYLife Securities LLC
	MetLife Securities, Inc.
R. Barry Jones	Merrill Lynch, Pierce, Fenner & Smith Inc.
	Banc of America Investment Services, Inc.
Atiq Urrehman Khan	Transamerica Financial Advisors, Inc.
	World Group Securities, Inc.
Deanne M. Lampe	Morgan Stanley
	Citigroup Global Markets Inc.
Veronica Azucena Lopez	Wells Fargo Advisors, LLC
	Morgan Stanley
Scott Alexander Markle	HD Vest Investment Services
	LPL Financial LLC
Oscar Nunez	J.H. Darbie & Co., Inc.
	Blackbook Capital, LLC
Jay Anthony Pandy-Tatum	Charles Schwab & Co., Inc.
	JP Morgan Chase
Jarrett Powell
Ciro Santoro	Allstate Financial Services, L LC
	Equity Services, Inc.
Daniel Richard Shaw	T. Rowe Price Investment Services, Inc.
Larry Charles Wolfe	Stoever, Glass & Company Inc.
	Aegis Capital Corp.

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.