A National Securities Arbitration & Investment Fraud Law Firm

FINRA Disciplinary Actions for April 2018 Name Individuals Barred for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for April 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:

  Chelsea Lauren Clemons-Denby
  Deborah Ann Day   Triad Advisors
  Royal Hutton Securities Corp
  Truitt Scott Ficklin   Cetera Investment Services LLC
  Edward Jones
  Phillip William Formwalt   Woodmen Financial Services
  Kevin Richard Graetz   Paulson Investment Company
  Roth Capital Partners, LLC
  Lawrence E. Hagedorn   The O.N. Sales Company
  Securian Financial Services, Inc.
  Minish Joe Hede   Paulson Investment Company LLC
  Roth Capital Partners, LLC
  Raymond Woody Hooker   J.P. Morgan Securities
  Chase Investment Services Corp
  Brian Patrick Hurley   MML Investors Services, LLC
  NYLife Securities
  Lindsey Marie Katula   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors, LLC
  Jason Harris Klabal   Alexander Capital, L.P.
  Legend Securities, Inc.
  Richard James Murphy   Tullett Prebon Financial Services LLC
  Citation Financial Group, L.P.
  Michael Alan Sadouskas   Allstate Financial Services, LLC
  John Joseph Silvernale   HD Vest Investment Services
  Casey Tyler Thompson   Allstate Financial Services, LLC
  Northwestern Mutual Investment Services, LLC
  Sara Wilhite   PFS Investments Inc.
  Primerica Financial Services
  Brandon M. Williams   BMO Harris Financial Advisors, Inc.
  Northwestern Mutual Investment Services, LLC
  Larry Charles Wolfe   Stoever, Glass & Company Inc.
  Aegis Capital Corp.

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.

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