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A National Securities Arbitration & Investment Fraud Law Firm

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Registered Individuals Barred by FINRA for Violations of FINRA Rules

According to FINRA Disciplinary actions for October 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

  Bennett Scott Broad   Oppenheimer & Co. Inc.
  UBS PaineWebber Inc.
  Antonio Costanzo   Titus Rockefeller, LLC
  IFS Securities
  Steven Craig Duprey
  Niaz Elmazi aka Nick Morrisey   Global Arena Capital Corp
  HFP Capital Markets LLC
  John A. Gervasi   Brookville Capital Partners
  Paige Strother Hays   J.P. Morgan Securities
  Michael Ross Highfill   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Morgan Stanley & Co Inc
  Jose Manuel Irizarry   UBS Financial Services Inc.
  Santander Securities
  Keith Joseph Kobziewicz   MidAmerica Financial Services, Inc.
  Kovack Securities Inc.
  Robert Mas Laborete   TD Ameritrade, Inc.
  Jack White & Company, Inc.
  Scott Lyndon Martin   Securities America, Inc.
  Brecek & Young Advisors, Inc.
  Silvia Navarro Vallesillo
  Marcus Antonio Ortega   J.P. Morgan Securities LLC
  Rachael N. Register
  Matthew J. Semetulskis   J.P. Morgan Securities LLC
  Christopher Anthony Sumner   SCF Securities, Inc.
  Puplava Securities, Inc.
  Melonie P. Thomas

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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