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

According to FINRA Disciplinary actions for September 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
  Christina Albert
  Woodley Hannon Bagwell   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Helle Romer Bannister   J.P. Morgan Securities LLC
  HighTower Securities, LLC
  Sonya Michelle Brown
  Jason Harry Buchanan   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Daniel P. Capeless   FBR Capital Markets & Co.
  Donald William Chupp   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Wesley Claflin   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Brett Allen DeFore   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Theophilus K. Denanyoh
  Daniel Paul Doogs   Ameriprise Financial Services, Inc.
  IDS Life Insurance Company
  Daniel A. Dupont   Santander Securities LLC
  Mutual of Omaha Investor Services, Inc.
  John Charles Epting, Jr.   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Mark Joseph Flanagan   Citigroup Global Markets Inc.
  Wells Fargo Advisors, LLC
  Edward Kenneth Frost   Western International Securities, Inc.
  GBS Financial Corp.
  Mariam Gabashvili   J.P. Morgan Securities LLC
  Charles Edwin Garrison   Davenport & Company LLC
  First Union Securities, Inc.
  Albert Sidney Gersh   LPL Financial LLC
  Morgan Stanley DW Inc.
  Robert Constantine Gray   Farmers Financial Solutions, LLC
  Robert Norman Greco   Morgan Stanley
  Leanna Greene   State Farm VP Management Corp.
  John Kaleihiehie Kai   First Allied Securities, Inc.
  Commonwealth Financial Network
  Chea Anetta Ledbetter
  Matthew M. McDonagh   Osprey Partners LLC
  Cabot Lodge Securities LLC
  Terry Mark Mlodzik   UBS Financial Services Inc.
  Michael Ryan Mueller   Fidelity Brokerage Services LLC
  Sampson Pearson, Jr.   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc
  Craig Allan Price   Raymond James Financial Services, Inc.
  Craig A. Price LLC
  Frank Blaise Anthony Restifo, Jr.   The Huntington Investment Company
  Carlos Antonio Rodriguez   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Matthew Carl Shepard   Securian Financial Services, Inc.
  Carty & Company, Inc.
  Mark Eliot Silverman   MML Investors Services, LLC
  Park Avenue Securities LLC
  David Edward Smith   The Huntington Investment Company
  Jon William Stagnone   Fidelity Brokerage Services LLC
  Maria Nancy Tamburro   Ameriprise Financial Services, Inc.
  John Anthony Vedovino   Wells Fargo Advisors, LLC
  HFP Capital Markets LLC
  Matthew D. Webster   Wells Fargo Advisors, LLC
  Cadaret, Grant & Co., 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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