Securities Arbitration Lawyers BlogIn June 2016, FINRA Bars Registered Individuals for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for June 2016, 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 |
| 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. |
| Royal Alliance Associates, Inc. | |
| William Lee Hutchinson | IFS Securities |
| J.P. Turner & Company, LLC | |
| Daniel Seunghun Lee | NYLife Securities LLC |
| Janice Jean Ling | |
| Charles Little | PFS Investments Inc. |
| Charles Holman Phelps | Allstate Financial Services, LLC |
| Edward Jones | |
| Michael Taylor Shuttlesworth | Crown Capital Securities, L.P. |
| LPL Financial Corporation | |
| Mark Francis Speakman | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Christopher George Taylor | Purshe Kaplan Sterling Investments |
| Cambridge Investment Research, Inc. | |
| 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.