A National Securities Arbitration & Investment Fraud Law Firm

FINRA 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.

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