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

According to FINRA Disciplinary actions for November 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
  Debbie Sue Arnold   Farmers Financial Solutions, LLC
  Bridgett Elizabeth Beard
  Shawn Aaron Bedford   Edward Jones
  Jasper Eugene Boykin Jr.   MetLife Securities Inc.
  Quest Capital Strategies, Inc.
  Samuel David Campos   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Ladonna Carlisle
  Nichele Alexis Cavins
  Munaem Choudhury   Chelsea Financial Services
  Brookstone Securities, Inc.
  Shannon Kathleen Daniels   U.S. Bancorp Investments, Inc.
  Commerce Brokerage Services, Inc.
  Johnathan Roth Ellis   Pruco Securities, LLC
  Daniel Erlichman   KGS-Alpha Capital Markets, L.P.
  BNP Paribas Securities Corp.
  Michael Joseph Farinella   Allstate Financial Services, LLC
  Michael P. Gopie   AXA Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Ricky Reid Harris, Jr.   J.P. Morgan Securities LLC
  Erik Scott Jacobsen   Cambridge Investment Research, Inc.
  Wells Fargo Advisors, LLC
  Andrew Scott Jensen   Hornor, Townsend & Kent, Inc.
  AXA Advisors, LLC
  Tedla Ebou Khan   Goldman, Sachs & Co.
  Bilal Samouri McClendon   Equinox Securities, Inc.
  J.P. Turner & Company, LLC
  Sekou Mansur McClendon   Equinox Securities, Inc.
  Cape Securities Inc.
  Christopher Vincent Paul   Joseph Stone Capital LLC
  Aegis Capital Corp.
  Patrick Lee Perales   Wells Fargo Advisors, LLC
  Herndon Plant Oakley, Ltd.
  Bryan Dnaiel Quigley   MetLife Securities Inc.
  New England Securities
  Michael Quiles III   LPL Financial LLC
  MetLife Securities Inc.
   Jennifer Rainwater
  Kimberly Charisse Rice   Fidelity Brokerage Services LLC
  Theodore Gerald Rothman   First Allied Securities, Inc.
  Rothman Securities, Inc.
  Craig Clifford Ruschmeyer   Feltl & Company
  Wells Fargo Advisors, LLC
  Jon Brett Schmidhammer   Stifel, Nicolaus & Company, Inc.
  Merrill Lynch, Pierce, Fenner &Smith Inc
  David Garrett Shaw   Private Advisor Group, LLC
  LPL Financial LLC
  Gary Harland Sisler Jr.   Morgan Stanley Smith Barney
  Northwestern Mutual Investment Services, LLC
  Ladd W .Tanner   Trustmont Financial Group, INc.
  Gunnallen Financial, Inc.
  Dang Hung To   Wells Fargo Advisors, LLC
  Quyen Trong Tran   UnionBanc Investment Services, LLC
  Michael Vetere   Hornor, Townsend & Kent, Inc.
  NYLife Securities LLC
  Kuana Nicole Vick   First Citizens Investor Services, Inc.
  Larry Phillip Vogel   IFS Securities
  Ausdal Financial Partners, 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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