Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in June 2017 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for June 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 |
| Miguel Angel Aguilar | MML Investors Services, LLC |
| Northwestern Mutual Investment Services, LLC | |
| Steve Preston Alexander | Citizens Securities, Inc. |
| CUNA Brokerage Services, Inc. | |
| Amadou Bah | Maxim Group LLC |
| Garden State Securities, Inc. | |
| John W. Boals | Allstate Financial Services,, LLC |
| Lionel Brooks Jr. | Merrill Lynch, Pierce Fenner & Smith Inc. |
| Oppenheimer & Co. Inc. | |
| Sandra Canaba | LPL Financial LLC |
| Chase Investment Services Corp. | |
| Barry Franklin Connell | Morgan Stanley |
| UBS Financial Services Inc. | |
| Pamela A. Daniels | |
| Charles Greer Denormandie III | Commonwealth Financial Network |
| Ameriprise Financial Services, Inc. | |
| Leah Rose Fox-Greenberg | |
| Jennifer Marie Gonzalez | |
| Matthew J. Houtz | Raymond James & Associates, Inc. |
| Barry Jin | Spartan Capital Securities, LLC |
| Lampert Capital Markets, Inc. | |
| Jennifer Rebecca Johnson | Ameriprise Financial Services, Inc. |
| Edward Jones | |
| Martin Jones | Goldman Sachs & Co. |
| Adam Anthony Jurczyk | J.P. Morgan Securities LLC |
| Alexander Lewis | Northwestern Mutual Investment Services, LLVC |
| Quinn Alexander McClendon | Citizens Securities, Inc. |
| Mutual of Omaha Investor Services, Inc. | |
| Luan Quoc Nguyen | Pruco Securities, LLC |
| Timothy John Reed | Suntrust Investment Services, Inc. |
| Wells Fargo Advisors, LLC | |
| Steven Barry Sitzer | Dinosaur Securities, LLC |
| Spartan Capital Securities, LLC | |
| Raynard Keshav Sookdial | PFS Investments Inc. |
| Quynh Ngoc Tran | JP Morgan Securities LLC |
| Kevin Jin Yi | Voya Financial Advisors, Inc. |
| Young Min Yun |
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.