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A National Securities Arbitration & Investment Fraud Law Firm

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FINRA Bars Individuals in November 2016 for Violations of FINRA Rules

According to FINRA Disciplinary actions for Nov 2016, 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
  Juan C. Alejos   Spartan Capital Securities, LLC
  Charles Morgan Securities, Inc.
  Fontaine Boutwell   Allstate Financial Services, LLC
  Hornor, Townsend & Kent, Inc.
  Matthew Michael Cocco   Metlife Securities Inc.
  Perry De Leeuw   PFS Investments Inc.
  Primerica Financial Services
  Assan Faal   Stifel, Nicolaus & Company, Inc.
  Sterne, Agee & Leach, Inc.
  Judan Mae Flanagan   J.P. Morgan Securities, LLC
  Dean Scott Friedman   Syndicated Capital, Inc.
  Wedbush Morgan Securities Inc.
  Bryon Timothy Glime   Capital Investment Group, Inc.
  Suntrust Investment Services, Inc.
  Behnam Halali   Allstate Financial Services, LLC
  MML Investors Services LLC
  Garland Sean James   Garden State Securities, Inc.
  Global Arena Capital Corp.
  Kalid Morgan Jones   Joseph Gunnnar & Co. LLC
  National Securities Corporation
  Vicken Kassouny   J.P. Morgan Securities LLC
  NYLife Securities LLC
  Edward Hyunsoo Kim   Weild & Co.
  Prudential Securities Inc.
  Justin Anthony Krutsinger   PFS Investments Inc.
  Primerica Financial Services
  Tucker Robert Kunkel
  Kola Lulgjuraj   J.P. Morgan Securities LLC
  Rhonda Janeen Mattews   Prospera Financial Services, Inc.
  Wells Fargo Advisors Financial Network LLC
  Jared Howard Morgan   Suntrust Investment Services, Inc.
  NYLife Securities LLC
  Shaun Thomas Nagle   Comprehensive Asset Management and Servicing, Inc.
  Linsco/Private Ledger Corp.
  John Howard Pemberton   Ameriprise Financial Services, Inc.
  Securities America, Inc.
  Barbara E. Rein
  Barbara B. Rustici   Avenir Financial Group
  Rockwell Global Capital LLC
  Melba Reyes Talbot   Lifemark Securities Corp.
  Independent Financial Partments
  Jonathan Andrew Trotman   J.P. Morgan Securities LLC
  Daniel Benjamin Vasquez Sr.   Cetera Advisors LLC
  Investors Capital Corp.
  Martinnette Jeske Witrick   Kota Global Securities Inc.
  XP Securities, LLC
  Hannan Zafar
  Lance Jeffrey Ziesemer   Feltl & Company
  Wachovia 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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