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FINRA Suspends Registered Individuals in May 2017 for Violations of FINRA Rules

Posted: June 19th, 2017

According to FINRA Disciplinary actions for May 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:

  Dimitris Alifragis
  Ricardo Alonzo Jr.
  David William Beutler   Wells Fargo Advisors, LLC
  Prudential Securities Incorporated
  J. Gordon Cloutier Jr.   Wells Fargo Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Donald Joseph Coleman   Citigroup Global Markets Inc.
  Charles Maxwell Cox   Wells Fargo Advisors, LLC
  Chases Investment Services Corp.
  Laura Johnson Craven   State Farm VP Management Corp.
 Thomas A. Davis   Wells Fargo Advisors, LLC
  Megan Eilers   Wells Fargo Advisors, LLC
  First Clearing, LLC
  Dagmawit Metty Fisseha   Goldman, Sachs & Co.
  RBS Securities Inc.
  Ayrton Pierce Haddad   TD Ameritrade, Inc.
  E*Trade Securities LLC
  Scott William Hartman   Morgan Stanley
  Sanford C. Bernstein & Co., LLC
  Stephen Johnathan Hoshimi   Crescent Securities Group, Inc.
  Capwest Securities, Inc.
  Israel Jurkevicz   J.P. Morgan Securities LLC
  Shawn Brett Larkin   Fidelity Brokerage Services LLC
  Richard Muzquiz Jr.   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Sharon Theresa Noonan   Allstate Financial Services LLC
  Prudential Securities Incorporated
  Olateju Samson Oyeniyi
  Michael Jason Ripper   International Assets Advisory, LLC
  LPL Financial LLC
  Christopher Peter Rose   State Farm VP Management Corp.
  Teresita Santos Santos   Tramsamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Bimal Kishore Shah   Independent Financial Group, LLC
  WRP Investments Inc.
  Bryan Michael Snyder   J.P. Morgan Securities LLC
  Northwestern Mutual Investment Services, LLC
  Cory Ward Taylor   Ameriprise Financial Services, Inc.
  IDS Life Insurance Company
  Xin Wang   JP Morgan Securities LLC
  Matthew Edward Witkowski   Vanguard Marketing Corporation
  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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