Securities Arbitration Lawyers BlogFINRA Terminates Brokers’ Licenses in May 2015
According to FINRA Disciplinary actions for May 2015, the following individuals were barred 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 |
| Charles Eric Brown | |
| Omar Campos | LPL Financial LLC |
| Chase Investment Services Corp | |
| Marie Elizabeth Cantu | Citigroup Global Markets Inc. |
| Citicorp Investment Services | |
| James Arthur Champi | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Joseph Edmund Flores DeMeneses Jr. | COR Clearing LLC |
| Direct Access Partners LLC | |
| Elon Isreal Henek | Sunstreet Securities, LLC |
| EJ Sterling Inc. | |
| Jonele Inise Hinton | |
| Jeremy Shawn Hixson | U.S. Bancorp Investments, Inc. |
| Firstmerit Financial Services, Inc. | |
| Mark Joy Lane | Cetera Advisor Networks LLC |
| Walnut Street Securities, Inc. | |
| Salim Lyazidi | Kovack Securities Inc. |
| JHS Capital Advisors, LLC | |
| Scott Frederick Matthews | Key Investment Services LLC |
| Ameriprise Financial Services, Inc. | |
| Chadrick Alan Moss | Wells Fargo Advisors, LLC |
| Paul Avery Nicholls Jr. | MML Investors Services, LLC |
| Investment Professionals, Inc. | |
| Jason Charles Parker | LPL Financial LLC |
| Edward Jones | |
| Jane Linda Taylor | H.D. Vest Investment Services |
| Daniel L. Valdes | Suntrust Investment Services, Inc. |
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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.