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FINRA Bars Registered Individuals in July 2017 for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for July 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
  Ricardo Alonzo, Jr.
  Jared Cody Artho   JP Morgan Securities LLC
  Michael W. Benjamin   State Farm VP Management Corp
  David William Beutler   Wells Fargo Advisors, LLC
  Prudential Securities Inc
  Amanda Yvetter Burnett   Invest Financial Corporation
  Joni Carrera
  Charles Maxwell Cox   Wells Fargo Advisors, LLC
  Chase Investment Services Corp
  Aryton Pierce Haddad   TD Ameritrade, Inc.
  E*Trade Securities LLC
  Scott William Hartman   Morgan Stanley
  Encore Financial Advisors, LLC
  Chad Daniel Hornaday   AXA Advisors, LLC
  National Planning Corporation
  John James Joseph Labrie   JP Morgan Securities LLC
  Chase Investment Services Corp
  Derek James Longmuir   Advisors Asset Management, Inc.
  First Trust Portfolios LP
  Elijah Robert Maldonado   JP Morgan Securities LLC
  Chase Investment Services Corp.
  David K. Mallet   Wunderlich Securities, Inc.
  Stephens Inc.
  Raymond Edward Martin
  Richard Muzquiz Jr.   JP Morgan Securities LLC
  Chase Investment Services Corp
  Andrew Michael Pritchard   Pruco Securities, LLC
  Michael Jason Ripper   International Assets Advisory, LLC
  LPL Financial LLC
  Teresita Santos Santos   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Bimal Kishore Shah   Independent Financial Group, LLC
  WRP Investments Inc.
  Cory Ward Taylor   Ameriprise Financial Services, Inc.
  IDS Life Insurance Company
  Nathan Robert Trodahl   State Farm VP Management Corp.
  Xin Wang   JP Morgan Securities LLC
  Daniel L. Waters   Fidelity Brokerage Services LLC
  Sherman Marcel White   Wayne Hummer Investments LLC
  US Bancorp Investments, Inc.
  Brian Scot Winchester   Securities America, Inc.
  Sunset Financial Services, Inc.
  Matthew Edward Witkowski   Vanguard Marketing Corporation
  Edward Jones
  William Brian Wyman   Ameriprise Financial Services, Inc.
  Royal Alliance Associates, Inc.
  James Seokhoon Yoon   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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