A National Securities Arbitration & Investment Fraud Law Firm

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

According to FINRA Disciplinary actions for January 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:



  Jesse Baker   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Joseph Ryan Costa   Farmers Financial Solutions, LLC
  Ethan Frederick Daubert   Wells Fargo Clearing Services, LLC
  Deborah Ann Day   Triad Advisors, Inc.
  Royal Hutton Securities Corp.
  Matthew Evan Eckstein   Sisk Investments Services, Inc.
  Gould, Ambroson & Associates
  Colleen Elizabeth Flanagan   Fidelity Brokerage Services LLC
  Roy Aurelio Gaytan   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Marques Alexander Green   NYLife Securities LLC
  MetLife Securities, Inc.
  R. Barry Jones   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Banc of America Investment Services, Inc.
  Atiq Urrehman Khan   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Deanne M. Lampe   Morgan Stanley
  Citigroup Global Markets Inc.
  Veronica Azucena Lopez   Wells Fargo Advisors, LLC
  Morgan Stanley
  Scott Alexander Markle   HD Vest Investment Services
  LPL Financial LLC
  Oscar Nunez   J.H. Darbie & Co., Inc.
  Blackbook Capital, LLC
  Jay Anthony Pandy-Tatum   Charles Schwab & Co., Inc.
  JP Morgan Chase
  Jarrett Powell
  Ciro Santoro   Allstate Financial Services, L LC
  Equity Services, Inc.
  Daniel Richard Shaw   T. Rowe Price Investment Services, Inc.
  Larry Charles Wolfe   Stoever, Glass & Company Inc.
  Aegis Capital Corp.

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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