Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in June 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for June 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 |
| Aaron Carter Armstrong | NYLife Securities LLC |
| Kora L. Crowder | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Wensi Guzman | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Demitrios Hallas | PHX Financial, Inc. |
| Forefront Capital Markets LLC | |
| James Harrington | State Farm VP Management Corp. |
| Don Richard Iley | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Johnathan J. Joyce | PNC Investments |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Elias Nicholas Katsis | Legend Securities, Inc. |
| Tryco Securities, Inc. | |
| Jaoshiang Luo | Columbus Advisory Group, Ltd. |
| Clark Dodge & Co, Inc. | |
| Rafael Santiago | Primary Capital, LLC |
| COR Clearing LLC | |
| Jennifer A. Smith | |
| Jonathon William Sullivan | U.S. Bancorp Investments, Inc. |
| Barbara Jean Waters | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Michael David Woodard | Andrews Partners |
| 1792 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.