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

According to FINRA Disciplinary actions for April 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
  Donald Nelson Bower III   Invest Financial Corporation
  Edward Jones
  Xavier Dwight Clinton   J. P. Morgan Securities LLC
  Geoffrey Bret Davidson   Fidelity Brokerage Services LLC
  James Benjamin Farris   Merrill Lynch, Pierce, Fenner & Smith Inc.
  UBS Financial Services Inc.
  Miguel Eduardo Guzman   J.P. Morgan Securities LLC
  MA Investments Corp
  Melanie Haning   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Mark Anthony Hernandez   UBS Financial Services Inc.
  Morgan Stanley
  Ashley Marie Hostetter
  Shawn I Houslin   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Spencer Joseph Lassetter   Fidelity Brokerage Services LLC
  Abed William Lulu   Worden Capital Management LLC
  Rockwell Global Capital LLC
  Gurdev Singh Mann   NYLife Securities LLC
  Michael D. McKenny   Country Capital Management Company
  Metlife Securities Inc.
  Andrea Marie Milinkovic   PNC Investments
  Suntrust Investment Services, Inc.
  Ryan Michael Murnane   Alexander Capital, LP
  Woodstock Financial Group. Inc
  Christopher Quocthai Nguyen   TD Ameritrade, Inc
  Albert John Papada   Horace Mann Investors, Inc.
  Zachary T Rawson   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Tyler V. Schultz   MML Investors Services, LLC
  Metlife Securities, Inc.
  Brett Michael Williams   NYLife Securities, 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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