Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals for Failure to Comply with FINRA Rules in February 2017
According to FINRA Disciplinary actions for February 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 |
| Troy Christopher Baldridge | Capital Securities Management, Inc. |
| Anderson & Strudwick, Inc. | |
| Shawn Aaron Bedford | Edward Jones |
| William Joseph Broccio | Meyers Associates, LP |
| Blackbook Capital, LLC | |
| Michael James Coolican IV | LPL Financial LLC |
| Edward Jones | |
| Brian Michael Gamard | Spartan Capital Securities, LLC |
| John Thomas Financial | |
| Brian Marc Kennison | U.S. Bancorp Investments, Inc. |
| Financial West Group | |
| Jonathan H. Lowell | |
| Sekou Mansur McClendon | Equinox Securities, Inc. |
| Cape Securities, Inc. | |
| Neil David Pecker | Coastal Equities, Inc. |
| Vision Financial Partners, LLC | |
| Patrick Lee Perales | Wells Fargo Advisors, LLC |
| Jean Paul Pierre | |
| Bryan Daniel Quigley | MetLife Securities Inc. |
| New England Securities | |
| Kimberly Charisse Rice | Fidelity Brokerage Services LLC |
| Jon Brett Schmidhammer | Stifel, Nicolaus & Company |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Jay Steven Sutherland | Ameriprise Financial Services, Inc. |
| Wells Fargo Advisors, LLC | |
| Patrick Justin White, Sr. | Laidlaw & Company (UK) Ltd. |
| Blackbook Capital 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.