Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in December 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for December 2016, 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 |
| Troy Christopher Baldridge | Capitol Securities Management, Inc. |
| Anderson & Strudwick, Inc. | |
| Michael Banjany | National Securities Corporation |
| J.P. Morgan Securities LLC | |
| William Joseph Broccio | Meyers Associates, L.P. |
| Blackbook Capital, LLC | |
| Michael James Coolican IV | LPL Financial LLC |
| Edward Jones | |
| Brian Michael Gamard | Spartan Capital Securities, LLC |
| John Thomas financial | |
| Brian Marc Kennison | U.S. Bancorp Investments, Inc. |
| Financial West Group | |
| Laurence H. King | Legend Securities, Inc. |
| Domestic Securities, Inc. | |
| Jonathan H. Lowell | |
| Farid Morim | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Neil David Pecker | Coastal Equities, Inc. |
| Westpark Capital, Inc. | |
| Jean Paul Pierre | |
| Michael Quiles III | LPL Financial LLC |
| MetLife Securities Inc. | |
| Peter Michael Riley | Morgan Stanley |
| UBS Financial Services Inc. | |
| Robert Shaffer | Fordham Financial Management, Inc. |
| PHX Financial, Inc. | |
| Patrick Justin White Sr. | Laidlaw & Company (UK) Ltd. |
| BlackBook Capital LLC |
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.