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In May 2016 FINRA Suspends Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for May 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Dmitry Borochin   Wells Fargo Advisors, LLC
  Chase Investment Services Corp.
  Randy Lee Bostick   Janney Montgomery Scott LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Jinesh Pravin Brahmbhatt   Success Trade Securities, Inc.
  LPL Financial Corporation
  Thomas Andrew Buckley   Wells Fargo Advisors, LLC
  Citigroup Global Markets Inc.
  Robert Chan   Western International Securities, Inc.
  US Bancorp Investments, Inc.
  Rodney Clyde Cochran   Mutual of Omaha Investors Services, Inc.
  Kenneth Alan Comstock   Wells Fargo Advisors, LLC
  Wells Fargo Investments, LLC
  Jaime Xavier Coronado   Nelsonreid, Inc.
  Wamu Investments, Inc.
  Brandon Matthew Cortez   Wells Fargo Advisors, LLC
  Edward Jones
  Canela Nicole Greenwood   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Michael Dennis Hampton   LPL Financial LLC
  Ameriprise Financial Services, Inc.
  Osi Trevor Isaacs   Brookstone Securities, Inc.
  Reid & Rudiger LLC
  Karen Suzanne Kane   Money Concepts Capital Corp
  OneAmerica Securities, Inc.
  Aric Ellis Kent   Wells Fargo Advisors, LLC
  Wells Fargo Investments, LLC
  Michael Van Lynch   Northwestern Mutual Investment Services, LLC
  Direct Capital Securities, Inc.
  Rhonda Janeen Matthews   Prospera Financial Services, Inc.
  Wells Fargo Advisors Financial Network, LLC
  Geoffrey Weber Murvin   Voya Financial Advisors, Inc.
  Ameriprise Financial Services, Inc.
  Thomas Wayne Ottman   Advanced Advisor Group, LLC
  Benjamin F. Edwards & Company, Inc.
  Markel Dashiell Petty   Direct Capital Securities, Inc.
  Arra Poghossian   Scottrade, Inc.
  TD Ameritrade, Inc.
  Travis Sherwood Shannon   Morgan Stanley
  Morgan Stanley & Co. Inc.
  Gregory Alan Townes   Foresters Equity Services, Inc.
  Questar Capital Corporation
  Kristin A. Tuchman   Ameriprise Financial Services, Inc.
  Morgan Stanley Smith Barney

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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