Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in March 2018 for Violations of FINRA Rules
According to FINRA Disciplinary actions for March 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:
| NAME | FORMER EMPLOYERS |
| Jesse Baker | Merrill Lynch, Pierce, Fenner &Smith Inc. |
| Joseph Ryan Costa | Farmer’s Financial Solutions, Inc. |
| Benjamin Asa Duty | State Farm VP Management Corp |
| Colleen Elizabeth Flanagan | Fidelity Brokerage Services LLC |
| Marques Alexander Green | NY Life Securities LLC |
| MetLife Securities Inc. | |
| R. Barry Jones | Merrill Lynch, Pierce, Fenner &Smith Inc. |
| Banc of America Investment Services, Inc. | |
| Deanne M. Lampe | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Alana Marie Lewis | Edward Jones |
| Veronica Azucena Lopez | Wells Fargo Advisors, LLC |
| Morgan Stanley | |
| Scott Alexander Markle | HD Vest Investment Services |
| LPL Financial LLC | |
| Peter Andrew O’Hara | Charles Schwab & Co, Inc. |
| Jarrett Powell | |
| Ciro Santoro | Allstate Financial Services, LLC |
| Equity Services, Inc. | |
| Daniel Richard Shaw | T. Rowe Price Investment Services, Inc. |
| Simon Boowon Song | AXA Advisors, LLC |
| Dawei Wang | Merrill Lynch, Pierce, Fenner &Smith Inc. |
| Scottrade, 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