Securities Arbitration Lawyers Blog
FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017
According to FINRA Disciplinary actions for December 2017, 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 |
| Florjan Beqo | J.P. Morgan Securities LLC |
| Benjamin Philip Brown | State Farm VP Management Corp. |
| Joseph Calascione | |
| Sonya D. Camarco | LPL Financial LLC |
| Linsco/Private Ledger Corp | |
| Benjamin Asa Duty | State Farm VP Management Corp. |
| Oscar R. Galdamez | AXA Advisors, LLC |
| Michael D. Graham | Northwestern Mutual Investment Services, LLC |
| Steven Harris | MML Investors Services, LLC |
| MSI Financial Services, LLC | |
| Kimberlyann Huegel | Vanguard Marketing Corporation |
| The Vanguard Group, Inc. | |
| Randall William Hunt | Ameriprise Financial Services, Inc. |
| Stifel, Nicolaus & Company, Inc. | |
| Alana Marie Lewis | Edward Jones |
| Garrett Dalton Martin | J.P. Morgan Securities LLC |
| Peter Andrew O’Hara | Charles Schwab & Co., Inc. |
| Hong Kun Pan | Pruco Securities, LLC |
| Jay Anthony Pandy-Tatum | Charles Schwab & Co., Inc. |
| Youngsoo Park | J.P. Morgan Securities LLC |
| Gary Dennis Ruiz | Citigroup Global Markets, Inc. |
| Capital One Investing, LLC | |
| Simon Boowon Song | AXA Advisors, LLC |
| Dawn Louise Stephens | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Lynn Shuster Strain | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors LLC | |
| Melanie Sherry Sweet | Hamershlag Sulzberger Borg Capital Markets, Inc. |
| Southlake Capital, LLC | |
| Joseph Francis Valdini | Aegis Capital Corp. |
| Worden Capital Management LLC | |
| Dawei Wang | Merrill Lynch, Pierce, Fenner &Smith Inc. |
| Scottrade, Inc. | |
| Russell L. Woodley | Citizens Securities, 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.