Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in April 2016
According to FINRA Disciplinary actions for April 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 |
| Jonathan Arroyo | J.P. Morgan Securities, LLC |
| Matthew C. Ashton | Merrill Lynch, Pierce, Fenner & Smith, Inc. |
| Vladimir Belyaev | Avenir Financial Group |
| Coastal Equities, Inc. | |
| Ho Choong Chung | J.P. Morgan Securities, LLC |
| Key Investment Services, LLC | |
| Anthony S. Curcio | J.P. Morgan Clearing Corp |
| George Jay Dobbins | Edward D. Jones & Co., L.P. |
| Robert Blake Ellender | Invesco Distributors, Inc. |
| John Hancock Funds, LLC | |
| Tameika Andrea Frinks | J.P. Morgan Securities, LLC |
| William Lee Hutchinson | IFS Securities |
| J.P. Turner & Company, LLC | |
| Chad Lewis Jackson | J.P. Morgan Securities, LLC |
| Daniel Seunghun Lee | NYLife Securities, LLC |
| Janice Jean Ling | |
| Charles Little | PFS Investments Inc. |
| Matthew R. Mizera | Fifth Third Securities, Inc. |
| Chase Investment Services Corp. | |
| Lindsey brooke Nelan | |
| Charles Holman Phelps | Allstate Financial Services, LLC |
| Edward Jones | |
| Tanvir M. Shah | |
| Michael Taylor Shuttlesworth | Crown Capital Securities, LP |
| LPL Financial Corporation | |
| Mark Francis Speakman | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Thomas Suarez | Rockwell Global Capital LLC |
| Laidlaw & Co (UK) Ltd. | |
| Christopher George Taylor | Purshe Kaplan Sterling Investments |
| Hightower Financial Partners | |
| Sheena Anne Toney | J.P. Morgan Securities, LLC |
| Chase Investment Services 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.