A National Securities Arbitration & Investment Fraud Law Firm

FacebookTwitterLinkedInJustiaGoogle+Feed

Published on:

In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules

According to FINRA Disciplinary actions for December 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
  Helle Romer Bannister   HighTower Advisors, LLC
  J.P. Morgan Securities, LLC
  Kayla Jo Brassesco
  Aalim Jamaal Brown   NYLife Securities LLC
   Laura Ann Cava   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors LLC
  Wesley Claflin   Merrill Lynch, Pierce, Fenner & Smith Inc
  Brett Allen DeFore   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Jessica Marie Franze
  Edward Kenneth Frost   Western International Securities, Inc.
  GBS Financial Corp.
  Charles Edwin Garrison   Davenport & Company LLC
  Robert Constantine Gray   Farmers Financial Solutions, LLC
  Leanna Greene   State Farm VP Management Corp.
  Robert William Griffin   Cantella &Co., Inc.
  Cornerstone Investment Services
  Stephen Allen Holmes   Voya Financial Advisors, Inc.
  Ameriprise Financial Services, Inc.
  Stephen Joseph Kipp   NPB Financial Group, LLC
  Kipp Financial Group, Inc.
  Craig Gary Langweiler   Windsor Street Capital, LP
  Meyers Associates LP
  Matthew M. McDonagh   Osprey Partners LLC
  Cabot Lodge Securities LLC
  Christine Doreen Memet   PNC Investments
  Chase Investment Services Corp.
  Terry Mark Mlodzik   UBS Financial Services Inc.
  Monica Jean O’Neill   Mutual of Omaha Investors Services, Inc.
  Thrivent Investment Management, Inc.
  Carlos Antonio Rodriguez   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Casey Thomas Rodriguez   Arive Capital Markets
  Chelsea Financial Services
  David Edward Smith   The Huntington Investment Company
  Clint Herrison Stoffels   UBS Financial Services Inc.
  Harvey Alan Weisenfeld   Allstate Financial Services, LLC
  Wood Financial Insurance Group 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.

Contact Information