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

Posted: July 7th, 2017

According to FINRA Disciplinary actions for June 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:

  Devin Barkley   MetLife Investors Distribution Company
  MetLife Securities, Inc.
  Alonza Barnett Jr.   Ameritas Investment Corp.
  Wilbert Norman Belizaire Jr.
  Amalia Bocanegra
  Christopher Canale
  Daniel P. Capeless   FBR Capital Markets & Co.
  Juliana Castaneda
  Nenita Blas Causing   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Andrey Chekalin   Eagle Strategies LLC
  NYLife Securities, LLC
  Wilson Chung   JP Morgan Securities LLC
  Kenneth Paul Collins Jr.   Union Capital Company
  Money Concepts Capital Corp
  Thomas Eric Constable   ADP Broker-Dealer, Inc.
  Sebastian Joshua Dimond   Vanguard Marketing Corporation
  JP Morgan Chase
  Edwin Waite Duguie Jr.
  John Charles Epting Jr.   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Jeffrey Edward Ermi   Wells Fargo Advisors, LLC
  Wachovia Securities, LLC
  Arsola Feransou
  Felicia Anne Figueroa
  Nicholas C. Gallo   Cova Capital Partners LLC
  Legend Securities, Inc.
  David Monroe Hawkes   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Christopher Lowell Jackson   Allstate Financial Services, LLC
  Jamar Darcel Jenkins   Wells Fargo Advisors, LLC
  Richard Michael Jones   NYLife Securities LLC
  Tika Justice
  Leslie Ann Kaplan   HSBC Securities (USA) Inc.
  Transamerica Financial Advisors, Inc.
  Sean David Kaplan   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Comprehensive Asset Management and Servicing
  Jeffrey Timothy Kluge   Merrill Lynch, Pierce, Fenner & Smith Inc.
  John Bradford Leonard   Wells Fargo Advisors
  Wachovia Securities, LLC
  Jonathan Ryan Levano   JP Morgan Securities, LLC.
  Cameron Blake Lovitt   Edward Jones
  Christopher Russell McNamee   Dakota Securities International, Inc.
  Sterling Financial Investment Group, Inc.
  Melanie Ann Melton   Allstate Financial Services, LLC
  Nicholas Henry Millas
  Rachel Marie Millyard   Infinex Investments, Inc.
  Essex National Securities, LLC
  Shayne Arlington Nelson   JP Morgan Securities LLC
  David Ng   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Wells Fargo Securities, LLC
  Darian Curtis Norris   Wells Fargo Advisors, LLC
  Northwestern Mutual Investment Services, LLC
  Patrick John O’Brien   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Vivien Li Ching Ong   JP Morgan Securities LLC
  Robert A. Perconte   Summit Brokerage Services, Inc.
  Ameriprise Financial Services, Inc.
  Edward Daniel Prudencio   BBVA Securities Inc.
  JP Morgan Securities LLC
  Raymond Jesus Rodriguez
  William Edward Roe   Park Avenue Securities LLC
  Crowell, Weedon & Co.
  Donald John Saccomano   Source Capital Group, Inc.
  Janney Montgomery Scott LLC
  Nicholas Adel Somo   JP Morgan Securities LLC
  Michael Allen Sparks   JJB Hilliard, WL Lyons LLC
  DMG Securities, Inc.
  Jennifer Anne Spencer   Fidelity Brokerage Services LLC
  TIAA-CREF Individual & Institutional Services, LLC
  Alec Michael Tracy   JP Morgan Securities LLC
  MMC Securities Corp.
  Justin Martin West   JP Morgan Securities LLC

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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