Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in June 2015
According to FINRA Disciplinary actions for June 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 |
| Frank Carmen Aquila | Legend Equities Corporation |
| Legend Capital Corporation | |
| Modesto Biney | Wells Fargo Advisors, LLC |
| Thomas Howard Caniford | LPL Financial LLC |
| M Holdings Securities, Inc. | |
| Andrew M. Carter | LPL Financial LLC |
| NYLIfe Securities LLC | |
| Fernando Diaz | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Jordan Hart | |
| Steven J. Hiles | NYLife Securities LLC |
| Erroll Constantine Hyde | H.D. Vest Investment Services |
| Advantage Capital Corporation | |
| Dolores Marie Jones | |
| Ariana Grace Kaiser | ING Financial Partners, Inc. |
| Anthony Uzoma Ogbonna | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Bernard Popilevsky | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Christina Powers | |
| William Michael Quigley | Trident Partners Ltd |
| Joseph Stevens & Company, Inc. | |
| Michael Joseph Quinn | Independent Financial Group, LLC |
| LPL Financial LLC | |
| Robert John Sprott | Securities Service Network, Inc. |
| Walnut Street Securities, Inc. | |
| Daniel Kunihiko Tamaki | NYLife Securities LLC |
| Mary V. Tropeano |
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.