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Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for May 2018, the following individuals were suspended 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
  Fernando Enrique Acosta  
  Paul Anthony Bustamante   Empire Asset Management Company
  Bishop, Rosen & Co, Inc
  Janna L. Carruth-Vogler  
  Abel Chavez   Farmers Financial Solutions, LLC
  Thomas Matthew Dunlap   AXA Advisors, LLC
  Saima Ashraf Durrani   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Joshua David Ellis   LPL Financial LLC
  BCG Securities, Inc.
  Ashley Evans  
  Samual LaWayne Haddix   Ameriprise Financial Services, Inc.
  IDS Life Insurance Company
  Christopher Lee Hibbard   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America, NA
  Shawn I Houslin   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America, NA
  Michael Dennis Jackson   Securities America, Inc
  Brecek & Young Advisors, Inc.
  Valbona Keja Keja-Dasilva   Suntrust Investment Services, Inc
  CCO Investment Services Corp
  Shane Jason Kelly   LPL Financial LLC
  Atlantic Capital Advisors
  Keesang John Kim   MML Investors Services, LLC
  Pruco Securities, LLC
  Michael Ray Matos   J.P. Morgan Securities LLC
  Uriah Eli Mitchell   J.P. Morgan Securities LLC
  Michael Patrick Nanto   J.P. Morgan Securities LLC
  Mutual of Omaha Investor Services, Inc.
  Frederick Lamar Pearse   J.P. Morgan Securities LLC
  Anteneh A. Roberts   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America, N.A.
  Jeanette Marie Sanchez  

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

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Phillip Johnson was assessed by FINRA a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, Johnson, a previous advisor with SunTrust Investment Services and DH Hill Securities, consented to the sanctions and to the entry of findings that he borrowed $528,000 from a customer, but failed to notify or obtain written approval of the loan in advance from his member firm. The findings stated that Johnson made an inaccurate statement on firm compliance questionnaires related to borrowing from a firm customer. The brokerage firm did not permit loans between registered persons and customers who were not close family members. Johnson and the customer are not family members.

Contact Our Firm if You’ve Invested with Phillip Johnson or your Financial Advisor Improperly Borrowed Money

If you invested with Phillip Johnson and believe you have lost money due to his misconduct, you may be able to file a claim to recover your losses through FINRA arbitration. For a free evaluation of your potential case by as securities attorney, please contact Silver Law Group.  Stockbrokers are in a unique position of trust and are rarely allowed to borrow money from clients.

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According to FINRA Disciplinary actions for April 2018, 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
  Robert Thomas Anderson   Wells Fargo Advisors, LLC
  UBS Financial Services Inc
  Li-Lin Hsu   Ameriprise Financial Services
  Transglobal Advisory, LLC
  Michael David Lee   Newport Group Securities, Inc.
  The Leaders Group, Inc.
  Jeffrey David Miller   LEK Securities Corporation
  Mitchell Securities, Inc.
  Carlos Antonio Rodriquez   UBS Financial Services Inc
  Merrill Lynch, Pierce, Fenner & Smith 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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According to FINRA Disciplinary actions for April 2018, 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
  Chelsea Lauren Clemons-Denby
  Deborah Ann Day   Triad Advisors
  Royal Hutton Securities Corp
  Truitt Scott Ficklin   Cetera Investment Services LLC
  Edward Jones
  Phillip William Formwalt   Woodmen Financial Services
  Kevin Richard Graetz   Paulson Investment Company
  Roth Capital Partners, LLC
  Lawrence E. Hagedorn   The O.N. Sales Company
  Securian Financial Services, Inc.
  Minish Joe Hede   Paulson Investment Company LLC
  Roth Capital Partners, LLC
  Raymond Woody Hooker   J.P. Morgan Securities
  Chase Investment Services Corp
  Brian Patrick Hurley   MML Investors Services, LLC
  NYLife Securities
  Lindsey Marie Katula   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors, LLC
  Jason Harris Klabal   Alexander Capital, L.P.
  Legend Securities, Inc.
  Richard James Murphy   Tullett Prebon Financial Services LLC
  Citation Financial Group, L.P.
  Michael Alan Sadouskas   Allstate Financial Services, LLC
  John Joseph Silvernale   HD Vest Investment Services
  Casey Tyler Thompson   Allstate Financial Services, LLC
  Northwestern Mutual Investment Services, LLC
  Sara Wilhite   PFS Investments Inc.
  Primerica Financial Services
  Brandon M. Williams   BMO Harris Financial Advisors, Inc.
  Northwestern Mutual Investment Services, LLC
  Larry Charles Wolfe   Stoever, Glass & Company Inc.
  Aegis Capital Corp.

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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According to FINRA Disciplinary actions for April 2018, the following individuals were suspended 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
  Donald Nelson Bower III   Invest Financial Corporation
  Edward Jones
  Xavier Dwight Clinton   J. P. Morgan Securities LLC
  Geoffrey Bret Davidson   Fidelity Brokerage Services LLC
  James Benjamin Farris   Merrill Lynch, Pierce, Fenner & Smith Inc.
  UBS Financial Services Inc.
  Miguel Eduardo Guzman   J.P. Morgan Securities LLC
  MA Investments Corp
  Melanie Haning   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Mark Anthony Hernandez   UBS Financial Services Inc.
  Morgan Stanley
  Ashley Marie Hostetter
  Shawn I Houslin   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Spencer Joseph Lassetter   Fidelity Brokerage Services LLC
  Abed William Lulu   Worden Capital Management LLC
  Rockwell Global Capital LLC
  Gurdev Singh Mann   NYLife Securities LLC
  Michael D. McKenny   Country Capital Management Company
  Metlife Securities Inc.
  Andrea Marie Milinkovic   PNC Investments
  Suntrust Investment Services, Inc.
  Ryan Michael Murnane   Alexander Capital, LP
  Woodstock Financial Group. Inc
  Christopher Quocthai Nguyen   TD Ameritrade, Inc
  Albert John Papada   Horace Mann Investors, Inc.
  Zachary T Rawson   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Tyler V. Schultz   MML Investors Services, LLC
  Metlife Securities, Inc.
  Brett Michael Williams   NYLife Securities, LLC

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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According to FINRA Disciplinary actions for March 2018, 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
  Kean Lynn Bouplon   Morgan Stanley
  Merrill Lynch, Pierce, Fenner &Smith  Inc.
  Craig Charles Franzke   PNC Investments
  NatCity Investments, Inc.
   Justin Johnston Harris   Morgan Stanley
  Wells Fargo Advisors
  Steve Morris   Wynston Hill Capital, LLC
  Halcyon Cabot Partners, LTD.
  Mark Allan Plummer   Chestnut Exploration Partners, 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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According to FINRA Disciplinary actions for March 2018, the following individuals were suspended 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
  Benjamin Glasser Aibel  Wunderlich Securities, Inc.
 Sanders Morris Harris Inc.
  Carter Page Brooks  Wells Fargo Clearing Services, LLC
 Edward Jones
  Christopher Masharn Bruce  State Farm VP Management Corp
  Abel Chaves  Farmers Financial Solutions, LLC
  Christian Colon  Ausdal Financial Partners, Inc.
 UBS Financial Services, Inc
  Randolph Lee Eddlemon III  Geneos Wealth Management, Inc
 Schooner Financial Associates
  Carlos Nestor Evertsz-Seda  K.C. Ward Financial
 J.P. Turner & Company, LLC
  Patrick Jahmar Fearon  J.P. Morgan Securities LLC
  Kenneth Taylor Foreman  Securities America, Inc.
 Foothill Securities, Inc.
  Miriam Fry  Wells Fargo Clearing Services, LLC
 First Clearing, LLC
  Sherie Irene Gaunt  Gill Capital Partners
  Roy Aurelio Gaytan  Transamerica Financial Advisors, Inc
 World Group Securities, Inc.
  Kevin Richard Graetz  Paulson Investment Company LLC
 Roth Capital Partners, LLC
  Minish Joe Hede  Paulson Investment Company LLC
 Roth Capital Partners, LLC
  Shane Jason Kelly  LPL Financial LLC
 Suntrust Investment Services, Inc.
  Atiq Urrehman Khan  Transamerica Financial Advisors, Inc
 World Group Securities, Inc
  Kimberly Pine Kitts  Royal Alliance Associates, Inc.
 Sound Financial, LLC
  David Wayne Krumrey  Oppenheimer & Co Inc.
 Stanford Group Company
  Gregory Alan LeVine  First Allied Securities, Inc.
 Commonwealth Financial Network
  Peter Jack Margaros  State Farm VP Management Corp.
  Oscar Nunez  J.H. Darbie & Co. Inc
 Blackbrook Capital, LLC
  Keisha Diane Pizzo
  Eric P. Poague  Edward Jones
 Lincoln Financial Advisors Corporation
  Vanessa Beth-Anne Reeves-Farry  J.P. Morgan Securities LLC
 Chase Investment Services Corp.
  Tyler V. Schultz  MML Investor Services, LLC
 MetLife Securities, Inc.
  Luis Alberto Zuniga

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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According to FINRA Disciplinary actions for March 2018, 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
  Jesse Baker   Merrill Lynch, Pierce, Fenner &Smith  Inc.
  Joseph Ryan Costa   Farmer’s Financial Solutions, Inc.
  Benjamin Asa Duty   State Farm VP Management Corp
  Colleen Elizabeth Flanagan   Fidelity Brokerage Services LLC
  Marques Alexander Green   NY Life Securities LLC
  MetLife Securities Inc.
  R. Barry Jones   Merrill Lynch, Pierce, Fenner &Smith  Inc.
  Banc of America Investment Services, Inc.
  Deanne M. Lampe   Morgan Stanley
  Citigroup Global Markets Inc.
  Alana Marie Lewis   Edward Jones
  Veronica Azucena Lopez   Wells Fargo Advisors, LLC
  Morgan Stanley
  Scott Alexander Markle   HD Vest Investment Services
  LPL Financial LLC
  Peter Andrew O’Hara   Charles Schwab & Co, Inc.
  Jarrett Powell
  Ciro Santoro   Allstate Financial Services, LLC
  Equity Services, Inc.
  Daniel Richard Shaw   T. Rowe Price Investment Services, Inc.
  Simon Boowon Song   AXA Advisors, LLC
  Dawei Wang   Merrill Lynch, Pierce, Fenner &Smith  Inc.
  Scottrade, 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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According to FINRA Disciplinary actions for February 2018, 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
  Florjan Beqo   J.P. Morgan Securities LLC
  Benjamin Phillip Brown   State Farm VP Management Corp.
  Joseph Calascione
  Sonya D. Camarco   LPL Financial LLC
  Morgan Stanley DW Inc.
  Samiul Anam Chowdhury   MML Investors Services, LLC
  NYLife Securities LLC
  Argenis T. Cortes   Charles Schwab & Co., Inc.
  J.P. Morgan Securities LLC
  Vincent Frank D’Accardi   Stifel, Nicolaus & Company, Inc
  Oscar R. Galdamez   AXA Advisors, LLC
  Matthew Douglas Garrett   MML Distributors, LLC
  Michael D. Graham   Northwestern Mutual Investment Services, LLC
  Kimberlyann Huegel   Vanguard Marketing Corporation
  Randall William Hunt   Ameriprise Financial Services, Inc.
  Stifel Nicolaus & Company, Inc.
  Garrett Dalton Martin   J.P. Morgan Securities LLC
  Kevin Allen Mee   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Hong Kun Pan   Pruco Securities, LLC
  Youngsoo Park   J.P. Morgan Securities LLC
  Cornelius Peterson   Morgan Stanley
  James S. Polese   Morgan Stanley
  UBS Financial Services Inc.
  Gary Dennis Ruiz   Citigroup Global Markets Inc.
  Capital One Investing, LLC
  Lynn Shuster Strain   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors LLC
  Jamie Yuvonne Stickland   Suntrust Investment Services, Inc.
  Wells Fargo Advisors, LLC
  Joesph Francis Valdini   Aegis Capital Corp.
  Worden Capital Management LLC
  Russell L. Woodley   Citizens Securities, 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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According to FINRA Disciplinary actions for February 2018, 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
  Patrick John Auckland   TIAA-CREF Individual & Institutional Services, LLC
  Morgan Stanley
  Michael Albert DiPietro   Transamerica Financial Advisors, Inc.
  Centaurus Financial, Inc.
  Laurie Anne Facsina   LPL Financial LLC
  Stratos Wealth Partners, Ltd
  Joseph Manuel Focil   Wedbush Securities Inc.
  Wells Fargo Advisors, LLC
  Christopher Lee Goslin   Harbor Light Securities, LLC
  J.P. Turner & Company, LLC
  Matthew Grady   Millstone Wealth Partners, LLC
  Barclays Capital Inc.
  Anthony Minerva   Richard James & Associates, Inc.
  J.D. Nicholas & Associates, Inc.
  James William Stanton Jr.   Wells Fargo Advisors, LLC
  MetLife Securities Inc.
  Joseph Morris Thurnherr   Spartan Capital Securities, LLC
  Windsor Street Capital, LP
  Darren Thomas Walton   Capital Synergy Partners
  Wells Fargo Advisors, LLC

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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