Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in March 2016
According to FINRA Disciplinary actions for March 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 |
| Randy Lamar Alford | Southeast Investments, N.C. Inc. |
| Saxony Securities, Inc. | |
| Kamran Azim | The Huntington Investment Company |
| Kenneth Martin Dlouhy | Catone Research Inc. |
| Aegis Capital Corp. | |
| Wensi Guzman | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Michael Winston Hefner | FBL Marketing Services, LLC |
| Equitrust Marketing Serv LLC | |
| Kristal Lee Johnson | Fifth Third Securities, Inc. |
| State Farm VP Management Corp. | |
| Elizabeth Ann Monge | Lincoln Financial Advisors Corp. |
| Valic Financial Advisors, Inc. | |
| Kayla Arlene Paul-Lindsey | Park Avenue Securities LLC |
| MML Investors Services, LLC | |
| Carmie Lynn Shifflett | Citigroup Global Markets Inc. |
| Citicorp Investment Services | |
| Renate Barbel Sterrett | LPL Financial LLC |
| Investacorp, Inc. | |
| Vladimir Tingue | Scottrade, Inc. |
| J.P. Morgan Securities LLC | |
| Valinda Kay Turner | |
| Kenya Julissa Zavala | 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.