A National Securities Arbitration & Investment Fraud Law Firm

FINRA Suspends Registered Individuals for Violations of FINRA Rules in May 2016

According to FINRA Disciplinary actions for May 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
  Gordon W. Adamson   Farmers Financial Solutions, LLC
  Stephen R. Anders   Capital One Investing, LLC
  BB&T Investment Services, Inc.
  Alex Ernesto Batlle   Forest Securities, Inc.
  Princor Financial Services Corporation
  James Frederick Brennan   T.R. Winston & Company, LLC
  Gilford Securities Incorporated
  Christopher David Campbell   Waddell & Reed
  Ruben Emilio Cardenas   BBVA Securities Inc.
  BBVA Compass Investment Solutions, Inc.
  Jessica Alyssa Diaz   Nationwide Investment Services Corporation
  David Glenn Gott   Ausdal Financial Partners, Inc.
  Berthel, Fisher & Company Financial Services, Inc.
  Ronald Fred Hanson   Valmark Securities, Inc.
  Securities America, Inc.
  Daniel Helkowski III   Allstate Financial Services, LLC
  Nationwide Securities, Inc.
  Li-Lin Hsu   Ameriprise Financial Services, Inc.
  Jose Alberto Huerta   Wells Fargo Advisors, LLC
  Fidelity Brokerage Services LLC
  Adrian Jablonski   J.P. Morgan Securities LLC
  First Midwest Securities, Inc.
  Sean Francis Lanci   Rothschild Lieberman LLC
  J. Streicher Capital LLC
  Quyen Chi Loong   Aaron Capital Inc
  Metlife Securities Inc.
  Elizabeth Grimaneza Looper   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Calvin Edward Moores   Independent Financial Group, LLC
  Centaurus Financial Inc.
  Justin L. Norris   NYLife Securities LLC
  Rafael Angel Ortiz   Cetera Investment Services LLC
  J.P. Morgan Securities LLC
  Natalia Pesin   Pruco Securities, LLC
  Linda A. Rapp  
  Virgil Queano Santos Jr.   Allstate Financial Services, LLC
  John M. Sayre   PFS Investments Inc.
  Brian Edward Shamash   State Farm VP Management Corp.
  Keith Everett Sorrentino   Stock USA Execution Services, Inc.
  Regal Securities, Inc.
  Michael John Tordone   TSC Distributors, LLC
  Lazard Asset Management Securities LLC
  David Scott Whitesel   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  David Lee Willis   Allstate Financial services, LLC
  Prudential Securities Incorporated
  Eugene Harold Wray   PFS Investments 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.

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