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FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules

Posted: June 19th, 2017

According to FINRA Disciplinary actions for May 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:

  Philip Bagalanon
  Terry Dean Bahgat   Gradient Securities, LLC
  Cambridge Investment Research, Inc.
  Patrick Hugh Dowd   Pruco Securities, LLC
  John Scott Elliott   Ameriprise Financial Services, Inc.
  Joseph Adam Giardina   Allstate Financial Services, LLC
  Ryley Grosso   Infinex Investments, Inc.
  PFS Investments Inc.
  Larry Anthony Ham   J.P. Morgan Securities LLC
  Chase Investment Services corp.
  Lystra C. Moore-Besson   HSBC Securities (USA) Inc.
  HSBC Brokerage (USA) Inc.
  Ryan Edward O’Neal Jr.
  Karrie Renee Parrett   Independent Financial Group LLC
  Invest Financial Corporation
  Brian Thomas Perry   Ameriprise Financial Services, Inc.
  IDS Life Insurance Company
  Meaghan Mary Rumsey   IFS Securities
  Cadaret, Grant & Co., Inc.
  Joshua James Shelby   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Donald Lee Watson Jr.   The Jeffrey Matthews Financial Group, LLC
  Stifel, Nicolaus & Company, Inc.
  Mark Nicholas Wesley   Ameriprise Financial Services, Inc.
  IDS Life Insurance Company
  Terrance Jerome Wilkerson   First Financial Equity Corporation
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Gregory Allen Zale   LPL Financial LLC
  Royal Alliance Associates, 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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