FINRA Disciplinary Actions

FINRA Suspends Registered Individuals for Violations of FINRA Rules in November 2015

December 1, 2015 | Silver Law Group

According to FINRA Disciplinary actions for November 2015, 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
Antonio Ambrosio
Silvia Patricia Arevalo	J.P. Morgan Securities LLC
Donna Kay Beers	Titan Securities
Donna Kay Beers	Private Consulting Group, Inc.
Joe L. Buckner	Brazos Securities, Inc.
Joe L. Buckner	Maplewood Investment Advisors, Inc.
Richard Gordon Drown, Jr.	D.A. Davidson & Co.
Richard Gordon Drown, Jr.	Crowell, Weedon & Co.
Jason John Garcia	Merrimac Corporate Securities, Inc.
Jason John Garcia	Wellstreet*E Financial Services, Inc.
Li-Lin Hsu	Transglobal Advisory, LLC
Li-Lin Hsu	Ameriprise Financial Services, Inc.
Margaret Mary Martin	MML Investors Services LLC
Margaret Mary Martin	Park Avenue Securities LLC
Cynthia Irene Taylor	BBVA Securities Inc.
Cynthia Irene Taylor	BBVA Compass Investment Solutions, Inc.

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.

FINRA Suspends Individuals for Failure to Comply with FINRA Rules in November 2015

December 1, 2015 | Silver Law Group

According to FINRA Disciplinary actions for November 2015, 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
Enver Rahman Alijaj	Avenir Financial Group
	Legend Securities, Inc.
Christopher R. Barber	Morgan Stanley Smith Barney
	Merrill Lynch, Pierce, Fenner & Smith Inc
Anthony Ryan Dutter	Morgan Stanley Smith Barney
	Edward Jones
John Scot Galinsky	Fintegra, LLC
	Advanced Equities, Inc.
William Benton Guido	LPL Financial LLC
	FSC Securities Corporation
Joseph Kennon Jayne	Ameriprise Financial Services, Inc.
	Banc of America Investment Services, Inc.
Michael David Lee	Newport Group Securities, Inc.
	American Financial Systems
George Henry Lucker III	Wells Fargo Investments, LLC
	Citigroup Global Markets Inc.
Daniel Richard Mignone	National Securities Corporation
	Berthel, Fisher & Company Financial Services, Inc.
Kenneth Charles Miles	Independent Financial Group, LLC
	Private Asset Group, Inc.
Cornelia S. O’Grady	Bank of America, N.A.
	AXA Advisors, LLC
David Allen Palmer	USAA Financial Advisors, Inc.
	Wells Fargo Advisors, LLC
Darin Richard Pastor	Courtlandt Securities Corporation
	Chelsea Financial Services
Nicholas Vito Ragone	Morgan Stanley Smith Barney
	Citigroup Global Markets Inc.
Gary Alan Schwarcz	Morgan Stanley Smith Barney
	Citigroup Global Markets Inc.
Ritchey Jon Wetzel	U.S. Bancorp Investments, Inc.
	Oppenheimer & Co. Inc.
Michael R. Wilt	AMP Wealth Management
	Cedar Creek Securities, Inc.

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.

FINRA Suspends Brokers for Failing to Comply with FINRA Rules in June 2015

July 13, 2015 | Silver Law Group

According to FINRA Disciplinary actions for June 2015, 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
Candius J. Bannister	Morgan Stanley
	Edward Jones
Michael Sean Cain	Morgan Stanley Smith Barney
	Morgan Keegan & Company, Inc.
John Paul Cech	Morgan Stanley
	Charles Schwab & Co., Inc.
Daniel Joseph Crowley	Rochdale Securities LLC
	Hoenig & Co., Inc.
Brendan Perry Frank	Morgan Stanley
	Citigroup Global Markets Inc.
Peter H. Kim	Morgan Stanley
	Wachovia Securities, LLC
Joshua T. Krieg	Merrill Lynch, Pierce, Fenner & Smith Inc.
	Morgan Stanley &Co., Inc.
William Russell Makepeace IV	USAA Financial Advisors, Inc.
	UBS Financial Services, Inc.
Donald James McBirney	Sterne, Agee & Leach, Inc.
	Oppenheimer & Co. Inc.

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.