Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules – 2
According to FINRA Disciplinary actions for December 2014, 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:
| NAME | FORMER EMPLOYERS |
| Donald L. Baker II | State Farm VP Management Corp. |
| Deborah Bush | JP Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Todd Alan Cummings | JP Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Richard Edward Ford | |
| David Robert Gray II | Cambridge Investment Research, Inc. |
| Nathan & Lewis Securities, Inc. | |
| Donald Gammon Hall Jr. | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| TD Ameritrade, Inc. | |
| Kimberley Ann Jim | JP Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Patricia Maria Lanigan | |
| Edwin Rafael Mejia | Wells Fargo Advisors, LLC |
| Scott Newsholme | SII Investments, Inc. |
| Royal Alliance Associates, Inc | |
| Earthel Dwight Parker | Chase Investment Services Corp. |
| Uday M. Raval | Karvy, Inc. |
| Darrell Duane Smith | Multi-Financial Securities Corporation |
| Next Financial Group, Inc. | |
| Shakeel Ahmad Tanveer | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Timothy Eugene White | Allstate Financial Services, LLC |
| U.S.-Worldwide Financial Services, Inc. |
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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.