A National Securities Arbitration & Investment Fraud Law Firm

FINRA Suspends Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for October 2015, 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
  Modesto Biney   Wells Fargo Advisors, LLC
  Michael Joseph Cassano   Metlife Securities Inc.
  Eduardo Jhonattan Chacon Melgarejo   J.P. Morgan Securities LLC
  Alisha Chahal
  Johnnie L. Christopher Jr.   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Ina E. Collazo   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Stephen Anthony Dalla Torre   PNC Investments
  Wachovia Securities, LLC
  Andrea Lynn Fayette
  Alain J. Florestan   Caldwell International Securities
  Brookstone Securities, Inc.
  Ricardo Francois   Caldwell International Securities
  PHD Capital
  Honetta C. Kao   Meyers Associates, L.P.
  Caldwell International Securities
  Sean Thomas Lopez   J.P. Morgan Securities LLC
  Albert Manzo   J.P. Morgan Securities LLC
  Andrew Marzec   Newbridge Securities Corporation
  Global Arena Capital Corp
  Richard Allen McGuire   Newport Coast Securities, Inc.
  Financial West Group
  Frederick Eugene Monroe Jr.   Voya Financial Advisors, Inc.
  Northwestern Mutual Investment Services
  Mary Pearl Reed   Wells Fargo Advisors, LLC
  Morgan Stanley DW Inc.
  Jessica Claire Sampel
  Matthew J. Semetulskis   J.P. Morgan Securities LLC
  Grace W. Smith   TIAA-CREF Individual & Institutional         Services, LLC
  Wells Fargo Advisors, LLC
  Michael Terrence Snedeker   Investors Capital Corp.
  Banc of America Investment Services, Inc.
  James Coleman Starks   Caldwell International Securities
  PHD Capital
  Marat Zeltser aka Matt Zeltser   Meyers Associates, L.P.
  Caldwell International Securities

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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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