Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in December 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for December 2016, 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 |
| Maricela Alvarez | JP Morgan Securities LLC |
| Rushton Leigh Ardrey III | Newport Coast Securities, Inc. |
| White, Weld & Co. Securities, LLC | |
| Terry Stephen Carraher | Allstate Financial Services, LLC |
| Scott Thomas Cross | MML Investors Services, LLC |
| Raymond James & Associates, Inc. | |
| Christopher Jeffrey Daniel | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Charles Schwab & Co., Inc. | |
| Nancy Elaine De Leeuw | |
| Paul Edward Dorion | LPL Financial LLC |
| Nathan & Lewis Securities, Inc. | |
| John Ezmat | AXA Advisors, LLC |
| Noel Fleming | Revere Securities LLC |
| Jesup & Lamont Securities Corp | |
| Salvatore Gioe | Chelsea Financial Services |
| Avenir Financial Group | |
| Stephen Duncan Grant | Security Research Associates, Inc. |
| Legend Merchant Group , Inc. | |
| James Walter Ignatowich | Newbridge Securities Corporation |
| Investors Capital Corp | |
| EvaJean Marie Jackson | Equinox Securities, Inc. |
| Dana Liesl McMillin | Jackson National Life Distributors LLC |
| Myrna Margarita Perez | Morgan Stanley |
| Robin Thomas Pledger | State Farm VP Management Corp |
| Robinson Rodriguez | J.P. Morgan Securities LLC |
| Michael Alan Siegel
|
National Securities Corporation |
| Concorde Investment Services, LLC | |
| Stewart Field Smith | Center Street Securities, Inc. |
| Questar Capital Corporation | |
| Donald Shelby Toomer | Wells Fargo Advisors Financial Network, LLC |
| RBC Dain Rauscher Inc. | |
| Frank Rowlin Underhill Jr. | Underhill Securities Corp. |
| DRF Business and Financial Services, LLC | |
| Travis Michael Vandermale | Farmers Financial Solutions, LLC |
| Cheryl Lynn Wallace | Ameriprise Financial Services, Inc. |
| Edward Jones | |
| Cinday Ah Ran Yi | |
| Julie Marie Ziolkowski | Fidelity Brokerage 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.