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

According to FINRA Disciplinary actions for June 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

  Mona Ali   JP Morgan Securities
  Bobbie Jo Bressler   Farmers Financial Solutions, LLC
  State Farm VP Management Corp
  Jeffrey Scott Cederberg   Primex
  Capwest Securities, Inc
  Gregory James Connell
  Vicente Davila   Morgan Stanely
  Merill Lynch, Pierce, Fenner & Smith Inc
  Miguel Eduardo Guzman   JP Morgan Securities LLC
  MA Investment Corp
  John Matthew Kurzhal   UBS Financial Services Inc.
  John Cochran Maccoll   UBS Financial Services Inc.
  Morgan Stanley DW Inc
  Cynthia Mae Moore   The Huntington Investment Company
  Felipe De Jesus U Munive   Allstate Financial Services, LLC
  Gordon Beecher Nitka   MML Investors Services, LLC
  MassMutual Life Insurance Company
  Daniel Ochoa   Farmers Financial Solutions, LLC
  Joshua Alexander Stephens-Anselm   JP Morgan Securities LLC
  Capital One Bank NA
  John Bradford Stoddard   Fidelity Brokerage Services LLC
  Zions Bank
  Christopher Robert Threet   JP Morgan Securities LLC
  Capital One Bank
  David Wells
  Yuhong Zhou   Transamerica Financial Advisors, Inc
  World Financial Group, Inc

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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