Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in September 2017 for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for September 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 |
| Kellye C. Allison | State Farm VP Management Corp. |
| Timothy David Ballard | Securities America, Inc. |
| National Planning Corporation | |
| Damani A. Barham | Morgan Stanley |
| TD Ameritrade, Inc. | |
| Kelley Macon Barham, Jr. | |
| Devin Barkley | MetLife Investors Distribution Company |
| MetLife Securities, Inc. | |
| Wilbert Norman Belizaire, Jr. | |
| Charles A. Black | Lincoln Financial Advisors Corporation |
| The Lincoln National Life Insurance Company | |
| Steven Eugene Bonner | Principal Securities, Inc. |
| Allied Financial Network Insurance Services, LLC | |
| Alexi Nahun Bustamante | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Juliana Castaneda | |
| Andrey Chekalin | NYLife Securities LLC |
| Eagle Strategies LLC | |
| Salvatore Joseph Cipriano | Pruco Securities LLC |
| Laidlaw & Company (UK) Ltd. | |
| Thomas Eric Constable | ADP Broker-Dealer, Inc. |
| Darnell Anthony Deans | BlackBook Capital, LLC |
| John Carris Investments LLC | |
| Jeffrey Edward Ermi | Wells Fargo Advisors LLC |
| Banc of America Investment Services, Inc. | |
| Lee Edward Farmer | Wells Fargo Advisors, LLC |
| AG Edwards & Sons, Inc. | |
| Arsola Feransou | |
| Joshua Adam Frederico | |
| Kevin Grewal | Keystone Capital Corporation |
| Fawad Hasan | Wells Fargo Clearing Services, LLC |
| Derrick Franklin Howard | Allstate Financial Services, LLC |
| Christopher Lowell Jackson | Allstate Financial Services, LLC |
| Jamar Darcel Jenkins | Wells Fargo Advisors, LLC |
| Molly M. Jury | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Sean David Kaplan | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Comprehensive Asset Management and Servicing, Inc. | |
| Ronald Frances Konchalski | Farmers Financial Solutions, LLC |
| Allstate Financial Services, LLC | |
| Robert Kenneth Lindell | Richfield Orion International, Inc. |
| Revere Securities Corp. | |
| Cameron Blake Lovitt | Edward Jones |
| Nicholas Henry Millas | |
| Christian A. Paul | Worth Financial Group Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Gregory David Pryce | Invest Financial Corporation |
| TFS Securities, Inc. | |
| Ernest Julius Romer, III | Corecap Investments, Inc. |
| L.M. Kohn & Company | |
| Donald John Saccamano | Source Capital Group, Inc. |
| Janney Montgomery Scott LLC | |
| Paul Edward Seaward | Foresters Financial Services, Inc. |
| First Investors Corporation | |
| Michael Allen Sparks | J.J.B. Hilliard, W.L .Lyons, LLC |
| DMG Securities, Inc. | |
| Jennifer Anne Spencer | Fidelity Brokerage Services LLC |
| TIAA-CREF Individual & Institutional Services, LLC | |
| Jordan Robert Tait | Farmers Financial Solutions, LLC |
| Bethany Chanel Thompson | Foresters Financial Services, Inc. |
| Christopher John Tiernan | Farmers Financial Solutions, LLC |
| Juan Ramon Uriarte, Jr. | J.P. Morgan Securities LLC |
| Hung Quoc Vu | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Julie Ann Wells | |
| Becky Woo | Citigroup Global Markets Inc. |
| HSBC Securities (USA) 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.