Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in June 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for June 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 |
| Devin Barkley | MetLife Investors Distribution Company |
| MetLife Securities, Inc. | |
| Alonza Barnett Jr. | Ameritas Investment Corp. |
| Wilbert Norman Belizaire Jr. | |
| Amalia Bocanegra | |
| Christopher Canale | |
| Daniel P. Capeless | FBR Capital Markets & Co. |
| Juliana Castaneda | |
| Nenita Blas Causing | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Andrey Chekalin | Eagle Strategies LLC |
| NYLife Securities, LLC | |
| Wilson Chung | JP Morgan Securities LLC |
| Kenneth Paul Collins Jr. | Union Capital Company |
| Money Concepts Capital Corp | |
| Thomas Eric Constable | ADP Broker-Dealer, Inc. |
| Sebastian Joshua Dimond | Vanguard Marketing Corporation |
| JP Morgan Chase | |
| Edwin Waite Duguie Jr. | |
| John Charles Epting Jr. | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Jeffrey Edward Ermi | Wells Fargo Advisors, LLC |
| Wachovia Securities, LLC | |
| Arsola Feransou | |
| Felicia Anne Figueroa | |
| Nicholas C. Gallo | Cova Capital Partners LLC |
| Legend Securities, Inc. | |
| David Monroe Hawkes | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Christopher Lowell Jackson | Allstate Financial Services, LLC |
| Jamar Darcel Jenkins | Wells Fargo Advisors, LLC |
| Richard Michael Jones | NYLife Securities LLC |
| Tika Justice | |
| Leslie Ann Kaplan | HSBC Securities (USA) Inc. |
| Transamerica Financial Advisors, Inc. | |
| Sean David Kaplan | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Comprehensive Asset Management and Servicing | |
| Jeffrey Timothy Kluge | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| John Bradford Leonard | Wells Fargo Advisors |
| Wachovia Securities, LLC | |
| Jonathan Ryan Levano | JP Morgan Securities, LLC. |
| Cameron Blake Lovitt | Edward Jones |
| Christopher Russell McNamee | Dakota Securities International, Inc. |
| Sterling Financial Investment Group, Inc. | |
| Melanie Ann Melton | Allstate Financial Services, LLC |
| Nicholas Henry Millas | |
| Rachel Marie Millyard | Infinex Investments, Inc. |
| Essex National Securities, LLC | |
| Shayne Arlington Nelson | JP Morgan Securities LLC |
| David Ng | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Wells Fargo Securities, LLC | |
| Darian Curtis Norris | Wells Fargo Advisors, LLC |
| Northwestern Mutual Investment Services, LLC | |
| Patrick John O’Brien | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Vivien Li Ching Ong | JP Morgan Securities LLC |
| Robert A. Perconte | Summit Brokerage Services, Inc. |
| Ameriprise Financial Services, Inc. | |
| Edward Daniel Prudencio | BBVA Securities Inc. |
| JP Morgan Securities LLC | |
| Raymond Jesus Rodriguez | |
| William Edward Roe | Park Avenue Securities LLC |
| Crowell, Weedon & Co. | |
| Donald John Saccomano | Source Capital Group, Inc. |
| Janney Montgomery Scott LLC | |
| Nicholas Adel Somo | JP Morgan Securities LLC |
| Michael Allen Sparks | JJB Hilliard, WL Lyons LLC |
| DMG Securities, Inc. | |
| Jennifer Anne Spencer | Fidelity Brokerage Services LLC |
| TIAA-CREF Individual & Institutional Services, LLC | |
| Alec Michael Tracy | JP Morgan Securities LLC |
| MMC Securities Corp. | |
| Justin Martin West | JP Morgan 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.