Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules
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:
| NAME | FORMER EMPLOYERS |
| 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.