Securities Arbitration Lawyers BlogRegistered Individuals Barred by FINRA in October 2017 for Violations of FINRA Rules
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.