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A National Securities Arbitration & Investment Fraud Law Firm

Updated:

In November 2015, FINRA Bars Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for November 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

  Arnold Baratz   The Investment Center, Inc
  Morgan Stanley Smith Barney
  Curlean Bradley-Lofters   Citigroup Global Markets Inc.
  Citicorp Investment Services
  Ben Holton Bruner   Summit Brokerage Services Inc.
  Wells Fargo Advisors, LLC
  Randy Carole Denenberg   Transamerica Financial Advisors, Inc.
  Regina Michelle Flener  
  Kristina Ann Gannon   Key Investment Services LLC
  Daniel Heredia-Macias   Wells Fargo Advisors LLC
  JP Morgan Institutional Investments Inc.
  Thomas John Hindes Jr.   LPL Financial LLC
  Edward Jones
  Belinda F. Hutto  
  Benjamin Hladen Kline   LPL Financial LLC
  Pruco Securities LLC
  Jerome Stuart Kudisher   Stifel, Nicholaus & Company, Incorporated
  Ryan Beck & Co.
  David Michael Levy   Titus Rockefeller, LLC
  IFS Securities
  Vladimir Lenin Lopez   Citigroup Global Markets Inc.
  Wells Fargo Advisors, LLC
  Russell Philip Macke   B.B. Graham & Company, Inc.
  Forsyth Securities, Inc.
  Jose Eduardo Mancia   J.P. Morgan Securities, LLC
  Chase Investment Services Corp
  Justin Eugene May-Lawhon   Suntrust Investment Services, Inc.
  Newbridge Securities Corporation
  Jerry Owen Mofield   Newbridge Securities Corporation
  First Montauk Securities Corp.
  Edward Thomas Murphy   Wells Fargo Advisors Financial Networks, LLC
  Morgan Stanley DW Inc.
  Theresa Leone Tremblay   UBS Financial Services Inc.
  Adela Noelle Turner   Key Investment Services LLC
  Wesbanco Securities, Inc.
  Louis Joseph Wepy   Santander Securities LLC
  J.P. Morgan Securities LLC
  Leor Yohanan   Meyers Associates, LP
  Salomon Grey Financial Corporation

Silver Law Group represents investors in securities and investment fraud cases. Scott Silver is admitted to practice in New York and Florida and represents 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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