Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in February 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for February 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 |
| Steven Angelo Aguilar | J.P. Morgan Securities, LLC |
| Thomas Edward Andrews | LPL Financial, LLC |
| John H. Berry | Crown Capital Securities, LP |
| LPL Financial, LLC | |
| Jeffrey Alan Bond | David Lerner Associates, Inc. |
| Ricardo Athelstone Broome | Woodstock Financial Group, Inc. |
| Meyers Associates LP | |
| Thomas Buono | Park Avenue Securities, LLC |
| Henry Kimtong Chang | Cetera Advisor Networks LLC |
| Financial Network Investment Corp. | |
| Veronica A. Deese | The Vanguard Group, Inc. |
| Larry Gordon Goldston | Caprock Securities, Inc. |
| Morgan Stanley DW, Inc. | |
| Rogelio Fernando Guevara | Northwestern Mutual Investment Services, LLC |
| Li-Lin Hsu | Ameriprise Financial Services, Inc. |
| Transglobal Advisory, LLC | |
| Roy Edward Jones | J.P. Morgan Securities, LLC |
| Castle Oak Securities | |
| Sean Francis Lanci | J. Streicher Capital, LLC |
| John Thomas Financial | |
| Tiffany Kim Le | Logic Wealth Management |
| J.P. Morgan Securities, LLC | |
| Sergio D. Lopez | MML Investors Services, LLC |
| NYLife Securities, LLC | |
| April Christine Morris-Spicer | Wunderlich Securities, Inc. |
| Lincoln Investment | |
| Sean David Portnoy | Nobles & Richards, Inc. |
| Sethi Financial Group | |
| Samatha Raeshawn Raines | Fidelity Brokerage Services, LLC |
| Royal Vance Keith Charles Reynolds III | Pruco Securities, LLC |
| Angelos Stephen Tsigounis | Stifel, Nicolaus & Company, Inc. |
| VFinance Investments, Inc. | |
| Makiasa Donyell Turner | Allstate Financial Services, 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.