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

According to FINRA Disciplinary actions for January 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

  Raymond Aleksey   Wells Fargo Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Matthew C. Ashton   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Ryan Jerry Attenson   Merrill Lynch, Pierce, Fenner & Smith, Inc.
  Wells Fargo Advisors, LLC
  Azim, Kamran   The Huntington Investment Company
  Tiffany Dawn Bee
  Keith Joseph Bettex   Pruco Securities, LLC
  F.N. Wolf & Co., Inc.
  Bruce Scott Birke   Accelerated Capital Group
  Crown Capital Securities, L.P.
  Toby Blackwood   PFS Investments Inc.
  Angela K. Blaylock   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Benjamin Jon Brown   State Farm VP Management Corp.
  American Express Financial Advisors Inc.
  Thomas Anthony Cammarano   LPL Financial LLC
  Associated Securities Corp.
  Brian Andrew Dunn   Robert W. Baird & Co. Inc.
  Citigroup Global Markets Inc.
  Robert Blake Ellender   Invesco Distributors, Inc.
  John Hancock Funds, LLC
  Susan Ann Ericson   UBS Financial Services Inc.
  Jose L. Espinoza   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Aaron Alexander Fauntleroy   ICMA-RC Services, LLC
  Craig Steven Ferraro   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Michael W. Finn   Merrill Lynch, Pierce, Fenner & Smith
  Alain J. Florestan   Caldwell International Securities
  Brookstone Securities, Inc.
  Robert Joseph Gray   Allstate Financial Services, LLC
  Kyle Brockman Greene   J.P. Morgan Securities LLC
  Larry Phillip Harvey, Jr.   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Christopher Hermiz   J.P. Morgan Securities LLC
  Gregory Kieth Hines, Jr.   The Huntington Investment Company
  Chase Investment Services Corp.
  Steve Everett Hinrichs   State Farm VP Management Corp.
  Richard Allen Isgrig   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc.
  Brian Grayson Kidder   High Point Capital Group, Inc.
  Delaney Equity Group LLC
  Warren Scott Koch   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Matthew Lawrence Lalonde   Buckman, Buckman & Reid, Inc.
  LPL Financial LLC
  Kathleen Mary Loney   LPL Financial LLC
  Mutual Service Corporation
  James Joseph McCarron III   J.P. Turner & Company, LLC
  QA3 Financial Corp.
  Samuel Ryan McClain   Northwestern Mutual Investment Services, LLC
  Marco A. Mendoza   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Vincent Joseph Menello, Jr.
  Jason Scott Miller   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Chakkin Tony Mok   Cetera Financial Specialists LLC
  Hochman & Baker Securities, Inc.
  Elizabeth Ann Monge   Lincoln Financial Advisors Corporation
  Valic Financial Advisors, Inc.
  Samuel Sean Nelson   Waddell & Reed
  Hai Yan Ni   T. Rowe Price Investment Services, Inc.
  HSBC Securities (USA) Inc.
  Darlene Byrd Page   Morgan Stanley
  UVest Financial Services Group, Inc.
  Bernard Mark Parker   Edward Jones
  Beaconsfield Financial Services, Inc.
  Christopher A. Parris   Nationwide Securities, Inc.
  NYLife Securities, Inc.
  Benjamin John Pritchett   Wells Fargo Adviosrs, LLC
  Investors Capital Corp.
  Francis Anthony Jason Punsalan   J.P. Morgan Securities LLC
  Ebony C. Ranson
  Toni Leynett Robertson   Caprock Securities, Inc.
  Investment Professionals, Inc.
  Carmie Lynn Shifflett   Citigroup Global Markets Inc.
  Citicorp Investment Services
  William Victor Siegel   Morgan Stanley
  Citigroup Global Markets Inc.
  John Larry Simpson   Princor Financial Services Corporation
  Avalon Investment & Securities Group, Inc.
  Robert Jay Snider   Thrivent Investment Management Inc.
  Renate Barbel Sterrett   LPL Financial LLC
  Investacorp, Inc.
  Abel Gaim Taklai   Key Investment Services LLC
  Vladimir Tingue   Scottrade, Inc.
  J.P. Morgan Securities LLC
  Leonard Toth   Pruco Securities, LLC
  Jean Ann Walsh-Josephson   Thrivent Investment Management Inc.
  Joseph Arnold Weber   Farmers Financial Solutions, LLC
  Equico Securities, Inc.
  Teule S. Williams   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Robin Michelle Wolfgram   Cetera Advisors LLC
  Foothill Securities, Inc.
  Jamie Reid Zimmerman

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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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