Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in October 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for Oct 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 |
| Kamran Azim | The Huntington Investment Company |
| Mohamed Baksh | PFS Investments Inc. |
| Primerica Financial Services | |
| David F. Bouchard | |
| Alina Brindusescu | US Bancorp Investments, Inc. |
| HSBC Securities (USA) Inc. | |
| James Lee Carpenter | Sagepoint Financial, Inc. |
| Next Financial Group, Inc. | |
| Donna Chen | Sunbelt Securities, Inc. |
| Ameriprise Financial Services, Inc. | |
| Marcus Joseph Debaise | Wells Fargo Advisors, LLC |
| Prudential Securities Inc | |
| Robert Philip DePalo | McBarron Capital LLC |
| Arjent Ltd. | |
| Phillip David Donnan | AXA Advisors, LLC |
| Kristen Mae Fitzhugh | PNC Investments |
| AXA Advisors, LLC | |
| Yitzhok Alexander Fox | Ditto Trade, Inc. |
| A.B Watley Direct, Inc. | |
| Yosef Yehuda Fox | Ditto Trade, Inc. |
| Web Street Securities, Inc. | |
| Russell Lee Goldstein | Morgan Stanley |
| Wells Fargo Advisors, LLC | |
| Israel Guzman | Unionbanc Investments Services, LLC |
| JP Morgan Securities LLC | |
| Bingyi Hu | National Securities Corporation |
| VFinance Investments, Inc. | |
| Philip Joseph Johnson | Wells Fargo Advisors, LLC |
| David Richard Kerr III | A&F Financial Securities, Inc. |
| Kenneth Joseph Kolquist | Cetera Advisor Networks LLC |
| Securities America, Inc. | |
| Kestina Mantar | Goldman Sachs & Co. |
| Pedro Juan Marrero Astacio IV | Wells Fargo Advisors, LLC |
| JP Morgan Securities LLC | |
| Valon Mehmeti | JP Morgan Securities LLC |
| Mercedes Molina | |
| Robert Isaac Newell | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Edward Jones | |
| Christopher A. Parris | The Lucian Group |
| Nationwide Securities Inc. | |
| Barbara Joann Peters | JP Morgan Securities LLC |
| Mikhail M. Rasner | Northwestern Mutual Investment Services, LLC |
| Rennie M. Roach | PFS Investments Inc. |
| Primerica Financial Services | |
| Warren Marc Rockmacher | Investacorp, Inc. |
| Chase Investment Services Corp. | |
| Lance R. Shaw | International Assets Advisory, LLC |
| LPL Financial LLC | |
| Michael Ronald Smith | UBS Financial Services Inc. |
| Morgan Stanley Smith Barney | |
| James Tao | Sunbelt Securities, Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Larry Steven Werbel | Concorde Investment Services, LLC |
| Summit Brokerage Services, 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.