Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules
According to FINRA Disciplinary actions for January 2018, 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:
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.
|
NAME |
FORMER EMPLOYERS |
| Donald C. Blackwell | Carlton & Associates, Inc. |
| J.P. Turner & Company, LLC | |
| Wayne Earl Cooksey | |
| Adham Shafik Khalil | Allstate Financial Services, LLC |
| Suhail Saleem Khan | LPL Financial LLC |
| Kingsview Asset Management LLC | |
| Rick Douglas Konecny | National Securities Corporation |
| J.P. Morgan Securities LLC | |
| Spencer David Laufer | J.H. Darbie & Co., Inc. |
| Joseph Stone Capital LLC | |
| Caeron Arlington McClintock | Spartan Capital Securities, LLC |
| Legend Securities, Inc. | |
| Stanley Calvin Pigue | Edward Jones |
| Jordan Charles Rodden | LPL Financial LLC |
| Raymond James & Associates, Inc. | |
| Jessica Rene Sewell | |
| Amus Desmond Stevens | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLVC | |
| Anaida Tashchyan | J.P. Morgan Securities LLC |
| WM Financial Services, Inc. | |
| David Arthur Wismer III | LPL Financial LLC |
| American Express Financial Advisors 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.