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A National Securities Arbitration & Investment Fraud Law Firm

Updated:

FINRA Terminates Brokers’ Licenses in June 2015

According to FINRA Disciplinary actions for June 2015, the following individuals were barred 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

  Jason Wade Cox   Edward Jones
  Dillon M. Edwards   Princor Financial Services Corporation
  Gino Arturo Fortis   H.D. Vest Investment Services
  Foresters Equity Services, Inc.
  Herbert Andrew Hood Jr.   Valic Financial Advisors, Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Rodney Bryan Howell   Transamerica Financial Advisors, Inc.
  Melissa Diana Powell
  Tina Lynn Reed   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Wachovia Securities, LLC
  Lynn Marie Schmidt   Meritus Financial Group, Inc.
  Rise, Inc.
  Mark I. Stark   LPL Financial LLC
  Five Star Investment Services, Inc.
  Peter Yao   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc.

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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