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FINRA Suspends Registered Individuals in February 2018 for Violations of FINRA Rules

According to FINRA Disciplinary actions for February 2018, 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
  Walter Lee Clark   Wilmington Capital Securities, LLC
  Adirondack Trading Group LLC
  Chelsea Lauren Clemons-Denby
  Ethan Frederick Daubert   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors, LLC
  Truitt Scott Ficklin   Cetera Investment Services LLC
  Edward Jones
  Philip William Formwalt   Woodmen Financial Services, Inc.
  Lawrence E. Hagedorn   The O.N. Equity Sales Company
  Ohio National Financial Services
  Raymond Woody Hooker   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Brian Patrick Hurley   MML Investors Services, LLC
  NYLife Securities LLC
  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.
  James Albert Pettit   Ameriprise Financial Services, Inc.
  Janney Montgomery Scott LLC
  Michael Alan Sadouskas   Allstate Financial Services, LLC
  John Greg Schmidt   Wells Fargo Advisors Financial Network, LLC
  Stifel, Nicolaus & Company, Inc.
  John Joseph Silvernale   HD Vest Investment Services
  Casey Tyler Thompson   Allstate Financial Services, LLC
  Northwestern Mutual  Investment Services, LLC
  Aaron Bronelle Wilbanks   Wilbanks Securities, Inc.
  Birchtree Financial Services, Inc.
  Sara Wilhite   PFS Investments Inc.
  Primerica Financial Services
  Bradley Curtis Williams   J.P. Morgan Securities LLC
  Invest Financial Corporation
  Brandon M. Williams   BMO Harris Financial Advisors, Inc.
  Northwestern Mutual Investment 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. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

 

 

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