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FINRA Names Individuals Barred in February 2018 for Violations of FINRA Rules

According to FINRA Disciplinary actions for February 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

  Florjan Beqo   J.P. Morgan Securities LLC
  Benjamin Phillip Brown   State Farm VP Management Corp.
  Joseph Calascione
  Sonya D. Camarco   LPL Financial LLC
  Morgan Stanley DW Inc.
  Samiul Anam Chowdhury   MML Investors Services, LLC
  NYLife Securities LLC
  Argenis T. Cortes   Charles Schwab & Co., Inc.
  J.P. Morgan Securities LLC
  Vincent Frank D’Accardi   Stifel, Nicolaus & Company, Inc
  Oscar R. Galdamez   AXA Advisors, LLC
  Matthew Douglas Garrett   MML Distributors, LLC
  Michael D. Graham   Northwestern Mutual Investment Services, LLC
  Kimberlyann Huegel   Vanguard Marketing Corporation
  Randall William Hunt   Ameriprise Financial Services, Inc.
  Stifel Nicolaus & Company, Inc.
  Garrett Dalton Martin   J.P. Morgan Securities LLC
  Kevin Allen Mee   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Hong Kun Pan   Pruco Securities, LLC
  Youngsoo Park   J.P. Morgan Securities LLC
  Cornelius Peterson   Morgan Stanley
  James S. Polese   Morgan Stanley
  UBS Financial Services Inc.
  Gary Dennis Ruiz   Citigroup Global Markets Inc.
  Capital One Investing, LLC
  Lynn Shuster Strain   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors LLC
  Jamie Yuvonne Stickland   Suntrust Investment Services, Inc.
  Wells Fargo Advisors, LLC
  Joesph Francis Valdini   Aegis Capital Corp.
  Worden Capital Management LLC
  Russell L. Woodley   Citizens Securities, 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.

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