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FINRA Suspends Registered Individuals in November 2017 for Violations of FINRA Rules

According to FINRA Disciplinary actions for November 2017, 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
  Donald C. Blackwell   Calton & Associates, Inc.
  J.P. Turner & Company, LLC
  Samiul Anam Chowdhury   MML Investors Services, LLC
  NYLife Securities LLC
  Wayne Earl Cooksey   Lincoln Financial Advisors Corporation
  Argenis T. Cortes   Charles Schwab & Co., Inc.
  J.P. Morgan Securities LLC
  Vincent Frank D’Accardi   Stifel, Nicolaus & Company, Inc
  Matthew Evan Eckstein   Gould, Ambroson & Associates Ltd.
  Sisk Investment Services, Inc.
  Christopher Anthony Fernan   Salomon Whitney Financial
  Rockwell Global Capital, LLC
  Matthew Douglas Garrett   MML Distributors, 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
  Kevin Allen Mee   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Cornelius Peterson   Morgan Stanley
  Stanley Calvin Pigue   Edward Jones
  James S. Polese   Morgan Stanley
  UBS Financial Services Inc.
  Jordan Charles Rodden   LPL Financial LLC
  Raymond James & Associates, Inc.
  Amus Desmond Stevens   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Jamie Yuvonne Strickland   Suntrust Investment Services, Inc.
  Wells Fargo Advisors, 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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