A National Securities Arbitration & Investment Fraud Law Firm

$70 MILLION Recovery for Investment Fraud
$44 MILLION Recovery for Ponzi Scheme Victims
$25 MILLION Recovery Against National Brokerage Firm
$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
$7.9 MILLION Securities Arbitration Award Against Stockbroker
$1 MILLION Securities Arbitration Award for Elder Financial Fraud
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According to FINRA Disciplinary actions for October 2017, 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
  Nicholas Esteban Arango   Joseph Stone Capital LLC
  Rockwell Global Capital LLC
  Leonardo S. Araujo   TD Ameritrade, Inc.
  Edward Jones
  Michael Biggs   Bank of America, N.A.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Shawn Evan Burns   Salomon Whitney Financial
  Cape Securities Inc.
  Brian M. Cain   Edward Jones
  Primevest Financial Services, Inc.
  Jaime Renato Cerda  
  Steven Gary Dash   Hallmark Investments, Inc.
  GunnAllen Financial, Inc.
  Diane Lee Dubshinski   Cape Securities Inc.
  1st Discount Brokerage, Inc.
  Kristopher A. Galicia Rodriguez   NYLife Securities LLC
  Yohandy Gonzalez   J.P. Morgan Securities LLC
  AXA Advisors, LLC
  Maria Cecilia Yumang Haoson  
  David Travis Hicks III   Allstate Financial Services, LLC
  Issei Kubota   Citigroup Global Markets Inc.
  Dale Anne Luce   RBC Capital Markets LLC
  UBS Financial Services Inc.
  Susan V. Magann  
  Kenneth Paul Mulvaney   MHA Financial Corp
  Marc Harold Pearl   Wells Fargo Advisors, LLC
  LPL Financial LLC
  Gerald Edward Peterson   Farmers Financial Solutions, LLC
  Florence Santiago  
  Jason Soricelli  
  Scott Ellis Stacke   William Blair & Company LLC
  Nancy Todd  
  Robert C. Tsai   E*Trade Securities LLC
  TD Ameritrade, Inc.
  Victoria Anne VanDyke   Corinthian Partners, LLC
  Matrix U.S.A., LLC
  Rosa Alicia Vazquez   Integrity Brokerage Services, Inc.
  White Pacific 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.

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According to FINRA Disciplinary actions for October 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  James Curtis Ackerman   Sloan Securities Corp.
  Sloan Investment Advisors LLC
  David Charles Cannata   Craig Scott Capital, LLC
  Brookstone Securities, Inc.
  Joseph Casella   Morgan Stanley
  Michael Todd Clements   Intercoastal Capital Markets, Inc.
  Avenir Financial Group
  James Gabriel Collard   Managed Account Services, LLC
  VFinance Investments, Inc.
  Avelino Cortina III   Wells Fargo Advisors, LLC
  Citigroup Global Markets Inc.
  Tory A. Duggins   Avenir Financial Group
  National Securities Corporation
  Timothy Stephen Fannin   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Craig Charles Franzke   PNC Investments
  Natcity Investments, Inc.
  Johan Henrik Frisell   Cambridge Investment Research, Inc.
  Capital Wealth Strategies LLC
  Dwight O’Neal Fulton Jr.   Emmett A. Larkin Company, Inc.
  Brookshire Securities Corporation
  Gerard Chandler Gremillion   ProFinancial, Inc.
  Michael Dean Martin   UBS Financial Services Inc.
  Morgan Stanley & Co., Inc.
  Christopher Russell McNamee   Dakota Securities International, Inc.
  Sterling Financial Investment Group, Inc.
  Farid Morim   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Brent Morgan Porges   Meyers Associates, L.P.
  Newbridge Securities Corporation
  Fredrick Deon Reagan   Wells Fargo Advisors, LLC
  Edward Jones

 

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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According to FINRA Disciplinary actions for October 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
  Kayla Jo Brassesco
  Aalim Jamaal Brown   NYLife Securities LLC
  Laura Ann Cava   Wells Fargo Clearing Services, LLC
  Jessica Marie Franze
  Robert William Griffin   Cantella & Co Inc.
  Cornerstone Investment Services
  Stephen Allen Holmes   Voya Financial Advisors, Inc.
  Ameriprise Financial Services, Inc.
  Khalil, Adham Shafik   Allstate Financial Services, LLC
  Kipp, Stephen Joseph    NPB Financial Group, LLC
  National Planning Corporation
  Craig Gary Langweiler   Windsor Street Capital, LP
  Meyers Associates LP
  Caeron Arlington McClintock   Spartan Capital Securities, LLC
  Legend Securities, Inc.
  Christine Doreen Memet   PNC Investments
  Chase Investment Services Corp.
  Lawrence Lee Olivas Jr.   Wells Fargo Advisors
  Monica Jean O’Neill   Mutual of Omaha Investor Services, Inc.
  Thrivent Investment Management Inc.
  Vanessa Beth-Anne Reeves-Farry   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Casey Thomas Rodriguez   Arive Capital Markets
  Chelsea Financial Services
  Jessica Rene Sewell
  Clint Herrison Stoffels   UBS Financial Services Inc.
  Anaida Tashchyan   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Harvey Alan Weisenfeld   Allstate Financial Services, LLC
  Wood Financial Insurance Group Inc.
  David Arthur Wismer III   LPL Financial LLC

 

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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According to FINRA Disciplinary actions for September 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
  Christina Albert
  Woodley Hannon Bagwell   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Helle Romer Bannister   J.P. Morgan Securities LLC
  HighTower Securities, LLC
  Sonya Michelle Brown
  Jason Harry Buchanan   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Daniel P. Capeless   FBR Capital Markets & Co.
  Donald William Chupp   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Wesley Claflin   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Brett Allen DeFore   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Theophilus K. Denanyoh
  Daniel Paul Doogs   Ameriprise Financial Services, Inc.
  IDS Life Insurance Company
  Daniel A. Dupont   Santander Securities LLC
  Mutual of Omaha Investor Services, Inc.
  John Charles Epting, Jr.   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Mark Joseph Flanagan   Citigroup Global Markets Inc.
  Wells Fargo Advisors, LLC
  Edward Kenneth Frost   Western International Securities, Inc.
  GBS Financial Corp.
  Mariam Gabashvili   J.P. Morgan Securities LLC
  Charles Edwin Garrison   Davenport & Company LLC
  First Union Securities, Inc.
  Albert Sidney Gersh   LPL Financial LLC
  Morgan Stanley DW Inc.
  Robert Constantine Gray   Farmers Financial Solutions, LLC
  Robert Norman Greco   Morgan Stanley
  Leanna Greene   State Farm VP Management Corp.
  John Kaleihiehie Kai   First Allied Securities, Inc.
  Commonwealth Financial Network
  Chea Anetta Ledbetter
  Matthew M. McDonagh   Osprey Partners LLC
  Cabot Lodge Securities LLC
  Terry Mark Mlodzik   UBS Financial Services Inc.
  Michael Ryan Mueller   Fidelity Brokerage Services LLC
  Sampson Pearson, Jr.   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc
  Craig Allan Price   Raymond James Financial Services, Inc.
  Craig A. Price LLC
  Frank Blaise Anthony Restifo, Jr.   The Huntington Investment Company
  Carlos Antonio Rodriguez   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Matthew Carl Shepard   Securian Financial Services, Inc.
  Carty & Company, Inc.
  Mark Eliot Silverman   MML Investors Services, LLC
  Park Avenue Securities LLC
  David Edward Smith   The Huntington Investment Company
  Jon William Stagnone   Fidelity Brokerage Services LLC
  Maria Nancy Tamburro   Ameriprise Financial Services, Inc.
  John Anthony Vedovino   Wells Fargo Advisors, LLC
  HFP Capital Markets LLC
  Matthew D. Webster   Wells Fargo Advisors, LLC
  Cadaret, Grant & Co., 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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According to FINRA Disciplinary actions for September 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Alvin Wayne Blancett   Raymond James Financial Services, Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Thomas M. Fayad   Oppenheimer & Co. Inc.
  UBS Financial Services Inc.
  Robert Peter Lappin   MetLife Securities Inc.
  New England Securities
  Nicholas Ronald MacNab   Suntrust Investment Services, Inc.
  BB&T Investment Services, Inc.
  George Henry Messier   Wells Fargo Clearing Services, LLC
  Great Heritage Investments, LLC
  Brian Moltz   MML Investors Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Gazmend Murtezi   Citizens Securities, Inc.
  PNC Investments
  Brendan O’Connell   Merrill Lynch, Pierce, Fenner & Smith Inc
  UBS Financial Services Inc.
  Arra Poghossian   Scottrade, Inc.
  TD Ameritrade, Inc.
  Brent Morgan Porges   Meyers Associates, L.P.
  Newbridge Securities Corporation
  Charles Courtney Sandoval   Allstate Financial Services, LLC
  SII Investments, Inc.
  John Leo Valentine   Purshe Kaplan Sterling Investments
  Securities America, 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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According to FINRA Disciplinary actions for September 2017, 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
  Kellye C. Allison   State Farm VP Management Corp.
  Timothy David Ballard   Securities America, Inc.
  National Planning Corporation
  Damani A. Barham   Morgan Stanley
  TD Ameritrade, Inc.
  Kelley Macon Barham, Jr.  
  Devin Barkley   MetLife Investors Distribution Company
  MetLife Securities, Inc.
  Wilbert Norman Belizaire, Jr.  
  Charles A. Black   Lincoln Financial Advisors Corporation
  The Lincoln National Life Insurance Company
  Steven Eugene Bonner   Principal Securities, Inc.
  Allied Financial Network Insurance Services, LLC
  Alexi Nahun Bustamante   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Juliana Castaneda  
  Andrey Chekalin   NYLife Securities LLC
  Eagle Strategies LLC
  Salvatore Joseph Cipriano   Pruco Securities LLC
  Laidlaw & Company (UK) Ltd.
  Thomas Eric Constable   ADP Broker-Dealer, Inc.
  Darnell Anthony Deans   BlackBook Capital, LLC
  John Carris Investments LLC
  Jeffrey Edward Ermi   Wells Fargo Advisors LLC
  Banc of America Investment Services, Inc.
  Lee Edward Farmer   Wells Fargo Advisors, LLC
  AG Edwards & Sons, Inc.
  Arsola Feransou  
  Joshua Adam Frederico  
  Kevin Grewal   Keystone Capital Corporation
  Fawad Hasan   Wells Fargo Clearing Services, LLC
  Derrick Franklin Howard   Allstate Financial Services, LLC
  Christopher Lowell Jackson   Allstate Financial Services, LLC
  Jamar Darcel Jenkins   Wells Fargo Advisors, LLC
  Molly M. Jury   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Sean David Kaplan   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Comprehensive Asset Management and Servicing, Inc.
  Ronald Frances Konchalski   Farmers Financial Solutions, LLC
  Allstate Financial Services, LLC
  Robert Kenneth Lindell   Richfield Orion International, Inc.
  Revere Securities Corp.
  Cameron Blake Lovitt   Edward Jones
  Nicholas Henry Millas  
  Christian A. Paul   Worth Financial Group Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Gregory David Pryce   Invest Financial Corporation
  TFS Securities, Inc.
  Ernest Julius Romer, III   Corecap Investments, Inc.
  L.M. Kohn & Company
  Donald John Saccamano   Source Capital Group, Inc.
  Janney Montgomery Scott LLC
  Paul Edward Seaward   Foresters Financial Services, Inc.
  First Investors Corporation
  Michael Allen Sparks   J.J.B. Hilliard, W.L .Lyons, LLC
  DMG Securities, Inc.
  Jennifer Anne Spencer   Fidelity Brokerage Services LLC
  TIAA-CREF Individual & Institutional Services, LLC
  Jordan Robert Tait   Farmers Financial Solutions, LLC
  Bethany Chanel Thompson   Foresters Financial Services, Inc.
  Christopher John Tiernan   Farmers Financial Solutions, LLC
  Juan Ramon Uriarte, Jr.   J.P. Morgan Securities LLC
  Hung Quoc Vu   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Julie Ann Wells  
  Becky Woo   Citigroup Global Markets Inc.
  HSBC Securities (USA) 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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According to FINRA Disciplinary actions for August 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
  Chad Michael Anderson   Farmers Financial Solutions, LLC
  Nicolas Esteban Arango   Joseph Stone Capital LLC
  Rockwell Global Capital LLC
  Leonardo S. Araujo   TD Ameritrade, Inc.
  Edward Jones
  Michael Biggs   Merrill Lynch, Pierce, Fenner & Smith Inc
  J.P. Morgan Securities LLC
  Steven Eugene Bonner   Principal Securities, Inc.
  Princor Financial Services Corp
  Thomas Joseph Borruso   LPL Financial LLC
  Rockwell Global Capital, LLC
  Shawn Evan Burns   Salomon Whitney Financial
  Cape Securities Inc.
  Brian M. Cain   Edward Jones
  Primevest Financial Services, Inc.
  Jaime Renato Cerda  
  Steven Gary Dash    Hallmark Investments, Inc.
  GunnAllen Financial, Inc.
  Diane Lee Dubshinski   Cape Securities Inc.
  1st Discount Brokerage, Inc.
  Christopher Anthony Fernan   Salomon Whitney Financial
  Rockwell Global Capital LLC
  Mark Joseph Flanagan   Citigroup Global Markets Inc.
  Wells Fargo Advisors, LLC
  Yohandy Gonzalez   J.P. Morgan Securities LLC
  AXA Advisors, LLC
  Maria Cecilia Yumang Hoason   J.P. Morgan Securities LLC
  Bettye Clements Hays   Principal Securities, Inc.
  MetLife Securities Inc.
  David Travis Hicks III   Allstate Financial Services, LLC
  David Russell Kondracke   Merrill Lynch, Pierce, Fenner & Smith Inc
  Advest, Inc.
  Issei Kubota   Citigroup Global Markets Inc.
  Danielle Lamb  
  Shawn Brett Larkin   Fidelity Brokerage Services LLC
  Dale Anne Luce   RBC Capital Markets, LLC
  UBS Financial Services Inc.
  Jacob Richard Luithle   Pruco Securities, LLC
  NYLife Securities LLC
  Susan V. Magann  
  Kenneth P. Mulvaney   MHA Financial Corp
  Sharon Theresa Noonan   Allstate Financial Services, LLC
  Prudential Securities Inc
  Lawrence Lee Olivas, Jr.   Wells Fargo Advisors, LLC
  Marc Harold Pearl   Wells Fargo Advisors, LLC
  LPL Financial LLC
  Gerald Edward Peterson   Farmers Financial Solutions, LLC
  Douglas A. Rabess   NYLife Securities LLC
  Christopher Peter Rose   State Farm VP Management Corp.
  Florence Santiago  
  Matthew Patrick Seemann   Wells Fargo Clearing Services, LLC
  Morgan Stanley Smith Barney
  Elizabeth Eunyung Skillman   LPL Financial LLC
  TD Ameritrade, Inc.
  Scott Ellis Stacke   William Blair & Company LLC
  Jon William Stagnone   Fidelity Brokerage Services LLC
  State Street Research Investment Services, Inc.
  Nancy Todd  
  Robert C. Tsai   E*Trade Securities LLC
  TD Ameritrade, 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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According to FINRA Disciplinary actions for August 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Clifford Eugene Alexander III   Summit Brokerage Services, Inc.
  Cantella & Co., Inc.
  Steven Preston Alexander   Citizens Securities, Inc.
  CUNA Brokerage Services, Inc.
  Jason Edward Anderson   Wilbanks Securities, Inc.
  Impact Financial Consulting, LLC
  Lawrence Allen Banks   PFS Investments Inc.
  EKN Financial Services Inc.
  Chad Ryan Barancyk   SII Investments, Inc.
  First Allied Securities, Inc.
  Jimmie Dean Canole   LaSalle St. Securities, LLC
  Brewer Financial Services, LLC
  Jeremiah Jens Charlson   Wells Fargo Advisors, LLC
  Edward Jones
  Matthew DiGregorio   Aegis Capital Corp.
  J.D. Nicholas & Associates, Inc.
  Philip Orezio Fatta   Spartan Capital Securities, LLC
  Blackook Capital, LLC
  Thomas M. Fayad   Oppenheimer & Co. Inc.
  UBS Financial Services Inc.
  Jeanne Michelle Fisher   Summit Brokerage Services, Inc.
  Cantella & Co., Inc.
  Gregory Flemming Jr.   Salomon Whitney Financial
  Rockwell Global Capital LLC
  Robert Furciato, Jr.   Ameriprise Financial Services, Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Michael Dennis Hampton   LPL Financial LLC
  Ameriprise Financial Services, Inc.
  Jeffrey Scott Ickes   Ameriprise Financial Services, Inc.
  Morgan Stanley Smith Barney
  Omar Tyrone Jeanty   Spartan Capital Securities, LLC
  Primary Capital, LLC
  Erik Robert Kneip   LPL Financial LLC
  Stratos Wealth Partners
  Jerome Scott Krause   First Heartland Capital, Inc.
  Thrivent Investment Management Inc.
  Michael Scott Lavolpe   Meyers Associates, L.P.
  David William Locy   Brookstone Securities, Inc.
  Archer Alexander Securities Corporation
  Elvin J. Lopez   Legend Securities, Inc.
  Worden Capital Management LLC
  Mary Helen Caprice Mallett   Independent Financial Group
  Morgan Stanley Smith Barney
  Devon Coulin McLean   Questar Capital Corporation
  USAllianz Securities, Inc.
  James William Mewborn   Principal Securities, Inc.
  Cambridge Investment Research, Inc.
  Clifford Paul Murray, M.D.   Newport Coast Securities, Inc.
  Empire Asset Management Company
  Gary Walter Oliphant   Ameriprise Financial Services, Inc.
  Ameriprise Advisor Services, inc.
  Clifford Alan Schwartz   Westpark Capital, Inc.
  The GMs Group , LLC
  Michael James Terry   Ameriprise Financial Services, Inc.
  Suntrust Investment Services, Inc.
  Antony Lee Turbeville   Brookstone Securities, Inc.
  Archer Alexander Securities Corporation
  Douglas Stuart Veitch, Sr.   Wilbanks Securities, Inc.
  Woodbury Financial Services, Inc.
  Everett Scoville Walker, Jr.
  Patrick Justin White, Sr.   Laidlaw & Company (UK) Ltd.
  BlackBook Capital LLC
  John Frederick Wolle   Sinclair & Company, LLC
  54 Freedom 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.

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According to FINRA Disciplinary actions for August 2017, 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
  Dimitris Alifragis  
  Alonza Barnett, Jr.   Ameritas Investment Corp.
  Dachtler Wealth Management
  Amalia Bocanegra  
  Christopher Canale  
  Nenita Blas Causing   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Wilson Chung   J.P. Morgan Securities LLC
  Kenneth Paul Collins, Jr.   Union Capital Company
  Money Concepts Capital Corp
  Laura Johnson Craven   State Farm VP Management Corp.
  Sebastian Joshua Dimond   Vanguard Marketing Corporation
  Wells Fargo Investments, LLC
  Edwin Waite Duguie, Jr.  
  Megan Eilers   Wells Fargo Advisors, LLC
  First Clearing, LLC
  Felicia Anne Figueroa  
  Nicholas C. Gallo   Cova Capital Partners LLC
  Legend Securities, Inc.
  David Monroe Hawkes   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Richard Michael Jones    NYLife Securities LLC
  Israel Jurkevicz   J.P. Morgan Securities LLC
  Tika Justice  
  Jeffrey Timothy Kluge   Merrill Lynch, Pierce, Fenner & Smith Inc
  John Bradford Leonard   Wells Fargo Advisors
  Wachovia Securities, LLC
  Jonathan Ryan Levano   J.P. Morgan Securities LLC
  Christopher Russell McNamee   Dakota Securities International, Inc,
  Sterling Financial Investment Group , Inc.
  Rachel Marie Millyard   Infinex Investments, Inc.
  Essex National Securities, LLC
  Shayne Arlington Nelson   J.P. Morgan Securities LLC
  David Ng   Merrill Lynch, Pierce, Fenner & Smith Inc
  Wells Fargo Securities, LLC
  Darian Curtis Norris   Wells Fargo Advisors, LLC
  Northwestern Mutual Investment Services, LLC
  Patrick John O’Brien   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Vivien Li Ching Ong   J.P. Morgan Securities LLC
  Olateju Samson Oyeniyi  
  Robert A. Perconte   Summit Brokerage Services, Inc.
  Ameriprise Financial Services, Inc.
  Edward Daniel Prudencio   BBVA Securities Inc.
  J.P. Morgan Securities LLC
  Raymond Jesus Rodriguez  
  William Edward Roe   Park Avenue Securities LLC
  Crowell, Weedon & Co.
  Nicholas Adel Somo   J.P. Morgan Securities LLC
  Michael Allen Sparks   J.J.B. Hillard, W.L. Lyons, LLC
  DMG Securities, Inc.
  Alec Michael Tracy   J.P. Morgan Securities LLC
  MMC Securities Crop.
  Justin Martin West   J.P. Morgan Securities LLC

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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According to FINRA Disciplinary actions for July 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
  Kellye C. Allison   State Farm VP  Management Corp.
  Timothy David Ballard   Securities America, Inc.
  National Planning Corporation
  Damani A. Barham   Morgan Stanley
  TD Ameritrade, Inc.
  Kelley Macon Barham, Jr.
  Charles A. Black   Lincoln Financial Advisors Corporation
  Jason Harry Buchanan   Morgan Stanley
  Citigroup Global Markets Inc.
  Alexi Nahun Bustamante   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Donald William Chupp   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Salvatore Joseph Cipriano   Pruco Securities, LLC
  Laidlaw & Company (UK) Ltd.
  Darnell Anthony Deans   Blackbook Capital, LLC
  John Carris Investments LLC
  Lee Edward Farmer   Wells Fargo Advisors, LLC
  A.G. Edwards & Sons, Inc.
  Joshua Adam Frederico
  Kristopher A. Galicia Rodriguez   NYLife Securities LLC
  Kevin Grewal   Keystone Capital Corporation
  Fawad Hasan   Wells Fargo Clearing Services, LLC
  Derrick Franklin Howard   Allstate Financial Services, LLC
  James Thomas Jurewicz   T3 Trading Group, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Molly M. Jury   Merrill Lynch, Pierce, Fenner & Smith inc.
  Ronald Frances Konchalski   Farmers Financial Solutions, LLC
  Allstate Financial Services, LLC
  Douglas Anthony Leone   Salomon Whitney Financial
  Newport Coast Securities, Inc.
  Robert Kenneth Lindell   Richfield Orion International, Inc.
  Revere Securities Corp.
  Christian A. Paul   Worth Financial Group Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Craig Allan Price   Raymond James Financial Services, Inc.
  Edward Jones
  Gregory David Pryce   Invest Financial Corporation
  TFS Securities, Inc.
  Ernest Julius Romer III

 

   Corecap Investments, Inc.
  Windsor Sheffield
  Paul Edward Seaward   Foresters Financial Services, Inc.
  First Investors Corporation
  Mark Eliot Silverman   MML Investors Services, LLC
  Park Avenue Securities LLC
  Jason Soricelli
  Brian Eugene Sturges   P.J. Robb Variable Corporation
  Financial Telesis Inc.
  Jordan Robert Tait   Farmers Financial Solutions, LLC
  Bethany Chanel Thompson   Foresters Financial Services, Inc.
  Christopher John Tiernan   Farmers Financial Solutions, LLC
  Juan Ramon Uriarte Jr.   J.P. Morgan Securities LLC
  Rosa Alicia Vazquez   Integrity Brokerage Services, Inc.
  White Pacific Securities, Inc.
  Hung Quoc Vu   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Julie Ann Wells
  Becky Woo   Citigroup Global Markets Inc.
  HSBC Securities (USA) 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.

Contact Information
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New York, NY 10018
Phone: (212) 377-5227
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Phone: (561) 665-8613
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