Close

A National Securities Arbitration & Investment Fraud Law Firm

Updated:

FINRA Suspends Registered Individuals in December 2016 for Violations of FINRA Rules

According to FINRA Disciplinary actions for December 2016, 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
  Troy Christopher Baldridge   Capitol Securities Management, Inc.
  Anderson & Strudwick, Inc.
  Michael Banjany   National Securities Corporation
  J.P. Morgan Securities LLC
  William Joseph Broccio   Meyers Associates, L.P.
  Blackbook Capital, LLC
  Michael James Coolican IV   LPL Financial LLC
  Edward Jones
  Brian Michael Gamard   Spartan Capital Securities, LLC
  John Thomas financial
  Brian Marc Kennison   U.S. Bancorp Investments, Inc.
  Financial West Group
  Laurence H. King   Legend Securities, Inc.
  Domestic Securities, Inc.
  Jonathan H. Lowell  
  Farid Morim   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Neil David Pecker   Coastal Equities, Inc.
  Westpark Capital, Inc.
  Jean Paul Pierre  
  Michael Quiles III   LPL Financial LLC
  MetLife Securities Inc.
  Peter Michael Riley   Morgan Stanley
  UBS Financial Services Inc.
  Robert Shaffer   Fordham Financial Management, Inc.
  PHX Financial, Inc.
  Patrick Justin White Sr.   Laidlaw & Company (UK) Ltd.
  BlackBook Capital 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.

Contact Us
Start Chat