Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in October 2018 for Violations of FINRA Rules
According to FINRA Disciplinary actions for October 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 |
| Gregory Adamo | Allstate Financial Services, LLC |
| National Securities Corporation | |
| Ricardo Bustamante | J.P. Morgan Securities LLC |
| Bustamante Family Legacy LLC | |
| Daniel Flores | Woodbury Financial Services, Inc |
| Princor Financial Services Corporation | |
| Jose Giraldo | Merrill Lynch, Pierce, Fenner & Smith Inc |
| David Lerner Associates, Inc | |
| Joshua Krize | Wells Fargo Clearing Services, LLC |
| Country Capital Management Company | |
| Francine Lanaia | Windsor Street Capital, LP |
| Meyers Associates LP | |
| Scott Miozzi | NYLife Securities LLC |
| Daniel Moore | |
| Scott Newbanks | KMS Financial Services, Inc |
| United Planners’ Financial Services of America | |
| Yousuf Saljooki | Worden Capital Management LLC |
| Salomon Whitney Financial | |
| Jameson Shin | LPL Financial LLC |
| Wells Fargo Advisors LLC | |
| Margaret Sterr | M Holding Securities, INC |
| Catalyst Solutions Group, Inc | |
| Francisco Valenzuela | Morgan Stanely |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Bryce Vance | Farmers Financial Solutions, LLC |
| Jackie Wadsworth | IMS Securities Inc |
| Retirement Investment Group | |
| Stephen Williams | LPL Financial LLC |
| Edward Jones | |
| Eric Zimmer | LPL Financial LLC |
| Edward Jones |
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