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A National Securities Arbitration & Investment Fraud Law Firm

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Registered Individuals Barred by FINRA in March 2017 for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for March 2017, 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
  Dennis Dewain Hern   Ameriprise Financial Services, Inc.
  First Command Financial Planning, Inc.
  Boa Tran Dinh Hoang   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Christopher Wayne Hunt II
  Laurence H. King   Legend Securities, Inc.
  Domestic Securities, Inc.
  Reginald Lewis McCarthy   Horace Mann Investors, Inc.
  Allstate Financial Services, LLC
  Caleb Layton Morris   Country Capital Management Company
  Brian Patrick Murphy   Signator Investors, Inc.
  MetLife Securities Inc.
  Peter Michael Riley   Morgan Stanley
  UBS Financial Services, Inc.
  Robert Shaffer   Fordham Financial Management, Inc.
  PHX Financial, Inc.
  Joe Don Treece   Arvest Wealth Management
  Raymond James & Associates, 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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