Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in July 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for July 2016, 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 |
| David F. Bouchard | |
| Alina Brindusescu | U.S. Bancorp Investments, Inc. |
| HSBC Securities (USA) Inc. | |
| Francisco Javier Camacho | J.P. Morgan Securities LLC |
| Christopher Michael Cervino | Primary Capital, LLC |
| Cor Clearing LLC | |
| David Glenn Gott | Ausdal Financial Partners, Inc. |
| Berthel, Fisher & Company Financial Services Inc. | |
| Israel Guzman | UnionBanc Investment Services, Inc. |
| J.P. Morgan Securities LLC | |
| John Vernon Heath | Independent Financial Group, LLC |
| QA3 Financial Corp. | |
| Steven Shane Horton | TD Ameritrade Clearing, Inc. |
| Holly Hurley | |
| Phillip Joseph Johnson | Wells Fargo Advisors, LLC |
| Christos Angelo Kalatoudis | Worden Capital Management LLC |
| National Securities Corporation | |
| David Richard Kerr III | A&F Financial Securities, Inc. |
| Kenneth Joseph Kolquist | Cetera Advisor Networks LLC |
| Securities America, Inc. | |
| Donald Lyons | Nativeone Institutional Trading, LLC |
| Samuel Sylvanus McNinch IV | Kestra Investment Services, LLC |
| Triad Advisors, Inc. | |
| Krista Viola Milligan | BBVA Securities Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Mercedes Molina | |
| Kevin Michael Murphy | BMO Harris Financial Advisors, Inc. |
| LPL Financial LLC | |
| Robert Isaac Newell | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Edward Jones | |
| Andrew Scott Oliveri | UBS Financial Services Inc. |
| David Thomas Owen III | Invest Financial Corporation |
| Questar Capital Corporation | |
| Kimberly Joyce Padgett | GWN Securities Inc. |
| Lincoln Investment | |
| Alfonso Papa | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| HFP Capital Markets LLC | |
| Paul M. Pemberton | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Claudia Patricia Phillips-Thompson | State Farm VP Management Corp. |
| Allstate Financial Services, LLC | |
| Paris Marquis Rembert | J.P. Morgan Securities LLC |
| Dennis Kevin Smith | NativeOne Institutional Trading, LLC |
| Raymond C. Forbes & Co. Inc. | |
| Barbara Jean Waters | Morgan Stanley |
| Citigroup Global Markets 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.