Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals for Filing to Comply with FINRA Rules in November 2017
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. |
| Morgan Keegan & Company, Inc. | |
| Damani A. Barham | Morgan Stanley |
| TD Ameritrade, Inc. | |
| Thomas Joseph Borruso | LPL Financial LLC |
| Rockwell Global Capital LLC | |
| Sonya Michelle Brown | |
| Theophilus K. Denanyoh | |
| Daniel Paul Doogs | Ameriprise Financial Services, Inc. |
| IDS Financial Services Inc. | |
| Daniel A. Dupont | Santander Securities LLC |
| Mutual of Omaha Investor Services, Inc. | |
| Mariam Gabashvili | J.P. Morgan Securities LLC |
| Albert Sidney Gersh | LPL Financial LLC |
| Morgan Stanley DW Inc. | |
| Robert Norman Greco | Morgan Stanley |
| Bettye Clements Hays | Principal Securities, Inc. |
| Princor Financial Services Corporation | |
| John Kaleihiehie Kai | First Allied Securities, Inc. |
| Commonwealth Financial Network | |
| David Russell Kondracke | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Advest, Inc. | |
| Danielle Lamb | |
| Chea Anetta Ledbetter | |
| Jacob Richard Luithle | Pruco Securities, LLC |
| NYLife Securities LLC | |
| Sampson Pearson Jr. | Northwestern Mutual Investment Services, LLC |
| 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 |
| Morgan Stanley Smith Barney | |
| Matthew Carl Shepard | Securian Financial Services, Inc. |
| Wealthspan Financial Group | |
| Elizabeth Eunyoung Skillman | LPL Financial LLC |
| TD Ameritrade, Inc. | |
| Maria Nancy Tamburro | Ameriprise Financial Services, Inc. |
| Bethany Chanel Thompson | Foresters Financial Services, Inc. |
| Matthew D. Webster | Wells Fargo Advisors, LLC |
| 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.