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FINRA Suspends Registered Individuals in June 2016 for Violations of FINRA Rules

According to FINRA Disciplinary actions for June 2016, 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
  Aaron Carter Armstrong   NYLife Securities LLC
  Kora L. Crowder   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Wensi Guzman   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Demitrios Hallas   PHX Financial, Inc.
  Forefront Capital Markets LLC
  James Harrington   State Farm VP Management Corp.
  Don Richard Iley   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Johnathan J. Joyce   PNC Investments
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Elias Nicholas Katsis   Legend Securities, Inc.
  Tryco Securities, Inc.
  Jaoshiang Luo   Columbus Advisory Group, Ltd.
  Clark Dodge & Co, Inc.
  Rafael Santiago   Primary Capital, LLC
  COR Clearing LLC
  Jennifer A. Smith  
  Jonathon William Sullivan   U.S. Bancorp Investments, Inc.
  Barbara Jean Waters   Morgan Stanley
  Citigroup Global Markets Inc.
  Michael David Woodard   Andrews Partners
  1792 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.

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