FINRA Disciplinary Actions

FINRA Suspends Registered Individuals in February 2018 for Violations of FINRA Rules

March 6, 2018 | Silver Law Group

According to FINRA Disciplinary actions for February 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
Walter Lee Clark	Wilmington Capital Securities, LLC
Walter Lee Clark	Adirondack Trading Group LLC
Chelsea Lauren Clemons-Denby
Ethan Frederick Daubert	Wells Fargo Clearing Services, LLC
Ethan Frederick Daubert	Wells Fargo Advisors, LLC
Truitt Scott Ficklin	Cetera Investment Services LLC
Truitt Scott Ficklin	Edward Jones
Philip William Formwalt	Woodmen Financial Services, Inc.
Lawrence E. Hagedorn	The O.N. Equity Sales Company
Lawrence E. Hagedorn	Ohio National Financial Services
Raymond Woody Hooker	J.P. Morgan Securities LLC
Raymond Woody Hooker	Chase Investment Services Corp.
Brian Patrick Hurley	MML Investors Services, LLC
Brian Patrick Hurley	NYLife Securities LLC
Lindsey Marie Katula	Wells Fargo Clearing Services, LLC
Lindsey Marie Katula	Wells Fargo Advisors, LLC
Jason Harris Klabal	Alexander Capital, L.P.
Jason Harris Klabal	Legend Securities, Inc.
Richard James Murphy	Tullett Prebon Financial Services LLC
Richard James Murphy	Citation Financial Group, L.P.
James Albert Pettit	Ameriprise Financial Services, Inc.
James Albert Pettit	Janney Montgomery Scott LLC
Michael Alan Sadouskas	Allstate Financial Services, LLC
John Greg Schmidt	Wells Fargo Advisors Financial Network, LLC
John Greg Schmidt	Stifel, Nicolaus & Company, Inc.
John Joseph Silvernale	HD Vest Investment Services
Casey Tyler Thompson	Allstate Financial Services, LLC
Casey Tyler Thompson	Northwestern Mutual Investment Services, LLC
Aaron Bronelle Wilbanks	Wilbanks Securities, Inc.
Aaron Bronelle Wilbanks	Birchtree Financial Services, Inc.
Sara Wilhite	PFS Investments Inc.
Sara Wilhite	Primerica Financial Services
Bradley Curtis Williams	J.P. Morgan Securities LLC
Bradley Curtis Williams	Invest Financial Corporation
Brandon M. Williams	BMO Harris Financial Advisors, Inc.
Brandon M. Williams	Northwestern Mutual Investment Services, 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.

FINRA Suspends Registered Individuals in January 2018 for Violations of FINRA Rules

February 6, 2018 | Silver Law Group

According to FINRA Disciplinary actions for January 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
Jesse Baker	Merrill Lynch, Pierce, Fenner & Smith Inc.
Joseph Ryan Costa	Farmers Financial Solutions, LLC
Ethan Frederick Daubert	Wells Fargo Clearing Services, LLC
Deborah Ann Day	Triad Advisors, Inc.
Deborah Ann Day	Royal Hutton Securities Corp.
Matthew Evan Eckstein	Sisk Investments Services, Inc.
Matthew Evan Eckstein	Gould, Ambroson & Associates
Colleen Elizabeth Flanagan	Fidelity Brokerage Services LLC
Roy Aurelio Gaytan	Transamerica Financial Advisors, Inc.
Roy Aurelio Gaytan	World Group Securities, Inc.
Marques Alexander Green	NYLife Securities LLC
Marques Alexander Green	MetLife Securities, Inc.
R. Barry Jones	Merrill Lynch, Pierce, Fenner & Smith Inc.
R. Barry Jones	Banc of America Investment Services, Inc.
Atiq Urrehman Khan	Transamerica Financial Advisors, Inc.
Atiq Urrehman Khan	World Group Securities, Inc.
Deanne M. Lampe	Morgan Stanley
Deanne M. Lampe	Citigroup Global Markets Inc.
Veronica Azucena Lopez	Wells Fargo Advisors, LLC
Veronica Azucena Lopez	Morgan Stanley
Scott Alexander Markle	HD Vest Investment Services
Scott Alexander Markle	LPL Financial LLC
Oscar Nunez	J.H. Darbie & Co., Inc.
Oscar Nunez	Blackbook Capital, LLC
Jay Anthony Pandy-Tatum	Charles Schwab & Co., Inc.
Jay Anthony Pandy-Tatum	JP Morgan Chase
Jarrett Powell
Ciro Santoro	Allstate Financial Services, L LC
Ciro Santoro	Equity Services, Inc.
Daniel Richard Shaw	T. Rowe Price Investment Services, Inc.
Larry Charles Wolfe	Stoever, Glass & Company Inc.
Larry Charles Wolfe	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.

January 2018 FINRA Disciplinary Actions Name Registered Individuals Suspended for Failing to Comply with FINRA Rules

February 6, 2018 | Silver Law Group

According to FINRA Disciplinary actions for January 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
Timothy Clark Bryant	Ameriprise Financial Services, Inc.
Timothy Clark Bryant	Wells Fargo Advisors, LLC
Philip Orezio Fatta	Spartan Capital Securities, LLC
Philip Orezio Fatta	Blackbook Capital, LLC
Lee Allen Jenkins Jr.	Triad Advisors, Inc.
Lee Allen Jenkins Jr.	Wachovia Securities Financial Network, LLC
Rick Douglas Konecny	National Securities Corporation
Rick Douglas Konecny	J.P. Morgan Securities LLC
Michael James McGraw	Morgan Stanley
Michael James McGraw	Wells Fargo Advisors, LLC
Robert A. Perconte	Summit Brokerage Services, Inc.
Robert A. Perconte	Ameriprise Financial Services, Inc.
Philip Anthony Pizelo	Pacific West Securities, Inc.
Philip Anthony Pizelo	Great Northern Financial Securities, Inc.
Michael Luciano Spinali	Morgan Stanley
Michael Luciano Spinali	Edward Jones
Kevin Wayne Taylor	Ameriprise Financial Services, Inc.
Kevin Wayne Taylor	Oppenheimer & Co. Inc.
Gary Mark Zwetchkenbaum	Gilford Securities Incorporated

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.

FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules

February 6, 2018 | Silver Law Group

According to FINRA Disciplinary actions for January 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:

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.

NAME	FORMER EMPLOYERS
Donald C. Blackwell	Carlton & Associates, Inc.
Donald C. Blackwell	J.P. Turner & Company, LLC
Wayne Earl Cooksey
Adham Shafik Khalil	Allstate Financial Services, LLC
Suhail Saleem Khan	LPL Financial LLC
Suhail Saleem Khan	Kingsview Asset Management LLC
Rick Douglas Konecny	National Securities Corporation
Rick Douglas Konecny	J.P. Morgan Securities LLC
Spencer David Laufer	J.H. Darbie & Co., Inc.
Spencer David Laufer	Joseph Stone Capital LLC
Caeron Arlington McClintock	Spartan Capital Securities, LLC
Caeron Arlington McClintock	Legend Securities, Inc.
Stanley Calvin Pigue	Edward Jones
Jordan Charles Rodden	LPL Financial LLC
Jordan Charles Rodden	Raymond James & Associates, Inc.
Jessica Rene Sewell
Amus Desmond Stevens	J.P. Morgan Securities LLC
Amus Desmond Stevens	Wells Fargo Advisors, LLVC
Anaida Tashchyan	J.P. Morgan Securities LLC
Anaida Tashchyan	WM Financial Services, Inc.
David Arthur Wismer III	LPL Financial LLC
David Arthur Wismer III	American Express Financial Advisors 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.

December 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules

January 12, 2018 | Silver Law Group

According to FINRA Disciplinary actions for December 2017, 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
Jason N. Anderson	IFS Securities
	Kovack Securities Inc.
Johan Henrik Frisell	Cambridge Investment Research, Inc.
	Capital Wealth Strategies LLC
Deborah E. Greenlee-Keck	Coastal Equities, Inc.
	Wells Fargo Advisors, LLC
Manuel Tomas Paredes	Worden Capital Management LLC
	Spartan Capital Securities, LLC
Phillip Eugene Pistilli	Joseph Stone Capital LLC
	Spartan Capital Securities, LLC
Charles Courtney Sandoval	Allstate Financial Services, LLC
	SII Investments, 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.

FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017

January 10, 2018 | Silver Law Group

According to FINRA Disciplinary actions for December 2017, 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
Florjan Beqo	J.P. Morgan Securities LLC
Benjamin Philip Brown	State Farm VP Management Corp.
Joseph Calascione
Sonya D. Camarco	LPL Financial LLC
Sonya D. Camarco	Linsco/Private Ledger Corp
Benjamin Asa Duty	State Farm VP Management Corp.
Oscar R. Galdamez	AXA Advisors, LLC
Michael D. Graham	Northwestern Mutual Investment Services, LLC
Steven Harris	MML Investors Services, LLC
Steven Harris	MSI Financial Services, LLC
Kimberlyann Huegel	Vanguard Marketing Corporation
Kimberlyann Huegel	The Vanguard Group, Inc.
Randall William Hunt	Ameriprise Financial Services, Inc.
Randall William Hunt	Stifel, Nicolaus & Company, Inc.
Alana Marie Lewis	Edward Jones
Garrett Dalton Martin	J.P. Morgan Securities LLC
Peter Andrew O’Hara	Charles Schwab & Co., Inc.
Hong Kun Pan	Pruco Securities, LLC
Jay Anthony Pandy-Tatum	Charles Schwab & Co., Inc.
Youngsoo Park	J.P. Morgan Securities LLC
Gary Dennis Ruiz	Citigroup Global Markets, Inc.
Gary Dennis Ruiz	Capital One Investing, LLC
Simon Boowon Song	AXA Advisors, LLC
Dawn Louise Stephens	J.P. Morgan Securities LLC
Dawn Louise Stephens	Wells Fargo Advisors, LLC
Lynn Shuster Strain	Wells Fargo Clearing Services, LLC
Lynn Shuster Strain	Wells Fargo Advisors LLC
Melanie Sherry Sweet	Hamershlag Sulzberger Borg Capital Markets, Inc.
Melanie Sherry Sweet	Southlake Capital, LLC
Joseph Francis Valdini	Aegis Capital Corp.
Joseph Francis Valdini	Worden Capital Management LLC
Dawei Wang	Merrill Lynch, Pierce, Fenner &Smith Inc.
Dawei Wang	Scottrade, Inc.
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.

FINRA Suspends Registered Individuals in November 2017 for Violations of FINRA Rules

December 1, 2017 | Silver Law Group

According to FINRA Disciplinary actions for November 2017, 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 C. Blackwell	Calton & Associates, Inc.
Donald C. Blackwell	J.P. Turner & Company, LLC
Samiul Anam Chowdhury	MML Investors Services, LLC
Samiul Anam Chowdhury	NYLife Securities LLC
Wayne Earl Cooksey	Lincoln Financial Advisors Corporation
Argenis T. Cortes	Charles Schwab & Co., Inc.
Argenis T. Cortes	J.P. Morgan Securities LLC
Vincent Frank D’Accardi	Stifel, Nicolaus & Company, Inc
Matthew Evan Eckstein	Gould, Ambroson & Associates Ltd.
Matthew Evan Eckstein	Sisk Investment Services, Inc.
Christopher Anthony Fernan	Salomon Whitney Financial
Christopher Anthony Fernan	Rockwell Global Capital, LLC
Matthew Douglas Garrett	MML Distributors, LLC
Suhail Saleem Khan	LPL Financial LLC
Suhail Saleem Khan	Kingsview Asset Management, LLC
Rick Douglas Konecny	National Securities Corporation
Rick Douglas Konecny	J.P. Morgan Securities LLC
Spencer David Laufer	J.H. Darbie & Co., Inc.
Spencer David Laufer	Joseph Stone Capital LLC
Kevin Allen Mee	J.P. Morgan Securities LLC
Kevin Allen Mee	Wells Fargo Advisors, LLC
Cornelius Peterson	Morgan Stanley
Stanley Calvin Pigue	Edward Jones
James S. Polese	Morgan Stanley
James S. Polese	UBS Financial Services Inc.
Jordan Charles Rodden	LPL Financial LLC
Jordan Charles Rodden	Raymond James & Associates, Inc.
Amus Desmond Stevens	J.P. Morgan Securities LLC
Amus Desmond Stevens	Wells Fargo Advisors, LLC
Jamie Yuvonne Strickland	Suntrust Investment Services, Inc.
Jamie Yuvonne Strickland	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.

Registered Individuals Suspended by FINRA in November 2017 for Failure to Comply with FINRA Rules

December 1, 2017 | Silver Law Group

According to FINRA Disciplinary actions for November 2017, 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
Joseph Orazio Degregorio	Garden State Securities, Inc.
	First Standard Financial Company LLC
Valery Vitalievich Gurin	UBS Financial Services Inc.
	Edward Jones
Levi David Lindemann	J.P. Turner & Company, LLC
	Workman Securities Corporation
John Scott Matthews	Global Arena Capital Corp
	Equities Trading Corp
Ataf Nabli	Merrill Lynch, Pierce, Fenner & Smith Inc
	Banc of America Investment Services, Inc.
Carrie Riley	Merrill Lynch, Pierce, Fenner & Smith Inc.
	Morgan Stanley
Englebert Sarmiento	Network 1 Financial Securities, Inc.
	E.J. Sterling, 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.

FINRA Bars Registered Individuals for Filing to Comply with FINRA Rules in November 2017

December 1, 2017 | Silver Law Group

According to FINRA Disciplinary actions for November 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
Christina Albert
Chad Michael Anderson	Farmers Financial Solutions, LLC
Woodley Hannon Bagwell	Raymond James & Associates, Inc.
Woodley Hannon Bagwell	Morgan Keegan & Company, Inc.
Damani A. Barham	Morgan Stanley
Damani A. Barham	TD Ameritrade, Inc.
Thomas Joseph Borruso	LPL Financial LLC
Thomas Joseph Borruso	Rockwell Global Capital LLC
Sonya Michelle Brown
Theophilus K. Denanyoh
Daniel Paul Doogs	Ameriprise Financial Services, Inc.
Daniel Paul Doogs	IDS Financial Services Inc.
Daniel A. Dupont	Santander Securities LLC
Daniel A. Dupont	Mutual of Omaha Investor Services, Inc.
Mariam Gabashvili	J.P. Morgan Securities LLC
Albert Sidney Gersh	LPL Financial LLC
Albert Sidney Gersh	Morgan Stanley DW Inc.
Robert Norman Greco	Morgan Stanley
Bettye Clements Hays	Principal Securities, Inc.
Bettye Clements Hays	Princor Financial Services Corporation
John Kaleihiehie Kai	First Allied Securities, Inc.
John Kaleihiehie Kai	Commonwealth Financial Network
David Russell Kondracke	Merrill Lynch, Pierce, Fenner & Smith Inc
David Russell Kondracke	Advest, Inc.
Danielle Lamb
Chea Anetta Ledbetter
Jacob Richard Luithle	Pruco Securities, LLC
Jacob Richard Luithle	NYLife Securities LLC


Sampson Pearson Jr.	Northwestern Mutual Investment Services, LLC
Sampson Pearson Jr.	Robert W. Baird & Co. Inc.
Douglas A. Rabess	NYLife Securities LLC
Frank Blaise Anthony Restifo, Jr.	The Huntington Investment Company
Matthew Patrick Seemann	Wells Fargo Clearing Services, LLC
Matthew Patrick Seemann	Morgan Stanley Smith Barney
Matthew Carl Shepard	Securian Financial Services, Inc.
Matthew Carl Shepard	Wealthspan Financial Group
Elizabeth Eunyoung Skillman	LPL Financial LLC
Elizabeth Eunyoung Skillman	TD Ameritrade, Inc.
Maria Nancy Tamburro	Ameriprise Financial Services, Inc.
Bethany Chanel Thompson	Foresters Financial Services, Inc.
Matthew D. Webster	Wells Fargo Advisors, LLC
Matthew D. Webster	Cadaret, Grant & Co., 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.

Registered Individuals Barred by FINRA in October 2017 for Violations of FINRA Rules

December 1, 2017 | Silver Law Group

According to FINRA Disciplinary actions for October 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
Nicholas Esteban Arango	Joseph Stone Capital LLC
Nicholas Esteban Arango	Rockwell Global Capital LLC
Leonardo S. Araujo	TD Ameritrade, Inc.
Leonardo S. Araujo	Edward Jones
Michael Biggs	Bank of America, N.A.
Michael Biggs	Merrill Lynch, Pierce, Fenner & Smith Inc
Shawn Evan Burns	Salomon Whitney Financial
Shawn Evan Burns	Cape Securities Inc.
Brian M. Cain	Edward Jones
Brian M. Cain	Primevest Financial Services, Inc.
Jaime Renato Cerda
Steven Gary Dash	Hallmark Investments, Inc.
Steven Gary Dash	GunnAllen Financial, Inc.
Diane Lee Dubshinski	Cape Securities Inc.
Diane Lee Dubshinski	1^st Discount Brokerage, Inc.
Kristopher A. Galicia Rodriguez	NYLife Securities LLC
Yohandy Gonzalez	J.P. Morgan Securities LLC
Yohandy Gonzalez	AXA Advisors, LLC
Maria Cecilia Yumang Haoson
David Travis Hicks III	Allstate Financial Services, LLC
Issei Kubota	Citigroup Global Markets Inc.
Dale Anne Luce	RBC Capital Markets LLC
Dale Anne Luce	UBS Financial Services Inc.
Susan V. Magann
Kenneth Paul Mulvaney	MHA Financial Corp
Marc Harold Pearl	Wells Fargo Advisors, LLC
Marc Harold Pearl	LPL Financial LLC
Gerald Edward Peterson	Farmers Financial Solutions, LLC
Florence Santiago
Jason Soricelli
Scott Ellis Stacke	William Blair & Company LLC
Nancy Todd
Robert C. Tsai	E*Trade Securities LLC
Robert C. Tsai	TD Ameritrade, Inc.
Victoria Anne VanDyke	Corinthian Partners, LLC
Victoria Anne VanDyke	Matrix U.S.A., LLC
Rosa Alicia Vazquez	Integrity Brokerage Services, Inc.
Rosa Alicia Vazquez	White Pacific 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.