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FINRA Suspends Registered Individuals in April 2017 for Violations of FINRA Rules

According to FINRA Disciplinary actions for April 2017, the following individuals were suspended 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
  Miguel Anel Aguilar   MML Investors Services, LLC
  Northwestern Mutual Investment Services, LLC
  Steven Preston Alexander   Citizens Securities, Inc.
  CUNA Brokerage Services, Inc.
  Jared Cody Artho   J.P. Morgan Securities LLC
  Amadou Bah    Maxim Group LLC
  Garden State Securities, Inc.
  Michael W Benjamin   State Farm VP Management Corp.
  John W. Boals   Allstate Financial Services, LLC
  Lionel Brooks Jr.   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Oppenheimer & Co. Inc.
  Amanda Yvette Burnett   Invest Financial Corporation
  Sandra Canaba   LPL Financial LLC
  Chase Investment Services Corp.
  Joni Carrera  
  Barry Franklin Connell   Morgan Stanley
  UBS Financial Services Inc.
  Pamela A. Daniels  
  Charles Greer Denormandie III   Commonwealth Financial Network
  Ameriprise Financial Services, Inc.
  Leah Rose Fox-Greenberg  
  Jennifer Marie Gonzalez  
  Chad Daniel Hornaday   AXA Advisors, LLC
  National Planning Corporation
  Stephen Johnathan Hoshimi   Crescent Securities Group, Inc.
  Capwest Securities, Inc.
  Matthew J. Houtz   Raymond James & Associates, Inc.
  Jennifer Rebecca Johnson   Ameriprise Financial Services, Inc.
  Edward Jones
  Adam Anthony Jurczyk   J.P. Morgan Securities LLC
  John James Joseph Labrie   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Alexander Lewis   Northwestern Mutual Investment Services LLC
  Derek James Longmuir   Advisors Asset Management, Inc.
  First Trust Portfolios LP
  Elijah Robert Maldonado   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  David K. Mallett   Wunderlich Securities, Inc.
  Stephens Inc.
  Raymond Edward Martin  
  Quinn Alexander McClendon   Citizens Securities, Inc.
  Mutual of Omaha Investor Services, Inc.
  Luan Quoc Nguyen   Pruco Securities, LLC
  Andrew Michael Pritchard   Pruco Securities, LLC
  Timothy John Reed   Suntrust Investment Services, Inc.
  Wells Fargo Advisors, LLC
  Steven Barry Sitzer   Dinosaur Securities, LLC
  Spartan Capital Securities, LLC
  Raynard Keshav Sookdial   PFS Investments Inc.
  Quynh Ngoc Tran   J.P. Morgan Securities LLC
  Nathan Robert Trodahl   State Farm VP Management Corp.
  Daniel L. Waters   Fidelity Brokerage Services LLC
  Sherman Marcel White   Wayne Hummer Investments LLC
  US Bancorp Investments, Inc.
  Brian Scot Winchester   Securities America, Inc.
  Sunset Financial Services, Inc.
  William Brian Wyman   Ameriprise Financial Services, Inc.
  Royal Alliance Associates, Inc.
  Kevin Jin Yi   Voya Financial Advisors, Inc.
  James Seokhoon Yoon   J.P. Morgan Securities LLC
  Young Min Yun  

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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