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A National Securities Arbitration & Investment Fraud Law Firm

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FINRA Bars Registered Individuals for Filing to Comply with FINRA Rules in November 2017

According to FINRA Disciplinary actions for November 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
  Christina Albert
  Chad Michael Anderson   Farmers Financial Solutions, LLC
  Woodley Hannon Bagwell   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Damani A. Barham   Morgan Stanley
  TD Ameritrade, Inc.
  Thomas Joseph Borruso   LPL Financial LLC
  Rockwell Global Capital LLC
  Sonya Michelle Brown
  Theophilus K. Denanyoh
  Daniel Paul Doogs   Ameriprise Financial Services, Inc.
  IDS Financial Services Inc.
  Daniel A. Dupont   Santander Securities LLC
  Mutual of Omaha Investor Services, Inc.
  Mariam Gabashvili   J.P. Morgan Securities LLC
  Albert Sidney Gersh   LPL Financial LLC
  Morgan Stanley DW Inc.
  Robert Norman Greco   Morgan Stanley
  Bettye Clements Hays   Principal Securities, Inc.
  Princor Financial Services Corporation
  John Kaleihiehie Kai   First Allied Securities, Inc.
  Commonwealth Financial Network
  David Russell Kondracke   Merrill Lynch, Pierce, Fenner & Smith Inc
  Advest, Inc.
  Danielle Lamb
  Chea Anetta Ledbetter
  Jacob Richard Luithle   Pruco Securities, LLC
  NYLife Securities LLC
  Sampson Pearson Jr.   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc.
  Douglas A. Rabess   NYLife Securities LLC
  Frank Blaise Anthony Restifo, Jr.   The Huntington Investment Company
  Matthew Patrick Seemann   Wells Fargo Clearing Services, LLC
  Morgan Stanley Smith Barney
  Matthew Carl Shepard   Securian Financial Services, Inc.
  Wealthspan Financial Group
  Elizabeth Eunyoung Skillman   LPL Financial LLC
  TD Ameritrade, Inc.
  Maria Nancy Tamburro   Ameriprise Financial Services, Inc.
  Bethany Chanel Thompson   Foresters Financial Services, Inc.
  Matthew D. Webster   Wells Fargo Advisors, LLC
  Cadaret, Grant & Co., 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.

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