Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in November 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for November 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 |
| Debbie Sue Arnold | Farmers Financial Solutions, LLC |
| Bridgett Elizabeth Beard | |
| Shawn Aaron Bedford | Edward Jones |
| Jasper Eugene Boykin Jr. | MetLife Securities Inc. |
| Quest Capital Strategies, Inc. | |
| Samuel David Campos | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Ladonna Carlisle | |
| Nichele Alexis Cavins | |
| Munaem Choudhury | Chelsea Financial Services |
| Brookstone Securities, Inc. | |
| Shannon Kathleen Daniels | U.S. Bancorp Investments, Inc. |
| Commerce Brokerage Services, Inc. | |
| Johnathan Roth Ellis | Pruco Securities, LLC |
| Daniel Erlichman | KGS-Alpha Capital Markets, L.P. |
| BNP Paribas Securities Corp. | |
| Michael Joseph Farinella | Allstate Financial Services, LLC |
| Michael P. Gopie | AXA Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Ricky Reid Harris, Jr. | J.P. Morgan Securities LLC |
| Erik Scott Jacobsen | Cambridge Investment Research, Inc. |
| Wells Fargo Advisors, LLC | |
| Andrew Scott Jensen | Hornor, Townsend & Kent, Inc. |
| AXA Advisors, LLC | |
| Tedla Ebou Khan | Goldman, Sachs & Co. |
| Bilal Samouri McClendon | Equinox Securities, Inc. |
| J.P. Turner & Company, LLC | |
| Sekou Mansur McClendon | Equinox Securities, Inc. |
| Cape Securities Inc. | |
| Christopher Vincent Paul | Joseph Stone Capital LLC |
| Aegis Capital Corp. | |
| Patrick Lee Perales | Wells Fargo Advisors, LLC |
| Herndon Plant Oakley, Ltd. | |
| Bryan Dnaiel Quigley | MetLife Securities Inc. |
| New England Securities | |
| Michael Quiles III | LPL Financial LLC |
| MetLife Securities Inc. | |
| Jennifer Rainwater | |
| Kimberly Charisse Rice | Fidelity Brokerage Services LLC |
| Theodore Gerald Rothman | First Allied Securities, Inc. |
| Rothman Securities, Inc. | |
| Craig Clifford Ruschmeyer | Feltl & Company |
| Wells Fargo Advisors, LLC | |
| Jon Brett Schmidhammer | Stifel, Nicolaus & Company, Inc. |
| Merrill Lynch, Pierce, Fenner &Smith Inc | |
| David Garrett Shaw | Private Advisor Group, LLC |
| LPL Financial LLC | |
| Gary Harland Sisler Jr. | Morgan Stanley Smith Barney |
| Northwestern Mutual Investment Services, LLC | |
| Ladd W .Tanner | Trustmont Financial Group, INc. |
| Gunnallen Financial, Inc. | |
| Dang Hung To | Wells Fargo Advisors, LLC |
| Quyen Trong Tran | UnionBanc Investment Services, LLC |
| Michael Vetere | Hornor, Townsend & Kent, Inc. |
| NYLife Securities LLC | |
| Kuana Nicole Vick | First Citizens Investor Services, Inc. |
| Larry Phillip Vogel | IFS Securities |
| Ausdal Financial Partners, 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.