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A National Securities Arbitration & Investment Fraud Law Firm

Updated:

FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules

According to FINRA Disciplinary actions for January 2018, 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:

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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FORMER EMPLOYERS

  Donald C. Blackwell   Carlton & Associates, Inc.
  J.P. Turner & Company, LLC
  Wayne Earl Cooksey
  Adham Shafik Khalil   Allstate Financial Services, LLC
  Suhail Saleem Khan   LPL Financial LLC
  Kingsview Asset Management LLC
  Rick Douglas Konecny   National Securities Corporation
  J.P. Morgan Securities LLC
  Spencer David Laufer   J.H. Darbie & Co., Inc.
  Joseph Stone Capital LLC
  Caeron Arlington McClintock   Spartan Capital Securities, LLC
  Legend Securities, Inc.
  Stanley Calvin Pigue   Edward Jones
  Jordan Charles Rodden   LPL Financial LLC
  Raymond James & Associates, Inc.
  Jessica Rene Sewell
  Amus Desmond Stevens   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLVC
  Anaida Tashchyan   J.P. Morgan Securities LLC
  WM Financial Services, Inc.
  David Arthur Wismer III   LPL Financial LLC
  American Express Financial Advisors 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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