Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in March 2017 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for March 2017, 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 |
| Philip Bagalanon | |
| Terry Dean Bahgat | Gradient Securities, LLC |
| Cambridge Investment Research, Inc. | |
| Patrick Hugh Dowd | Pruco Securities, LLC |
| The Prudential Insurance Company of America | |
| Joseph Adam Giardina | Allstate Financial Services, LLC |
| Ryley Grosso | Infinex Investments, Inc. |
| PFS Investments Inc. | |
| Larry Anthony Ham | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Barry Jin | Spartan Capital Securities, LLC |
| Lampert Capital Markets Inc. | |
| Martin Jones | Goldman, Sachs & Co. |
| Melanie Ann Melton | Allstate Financial Services, LLC |
| Lystra C. Moore-Besson | HSBC Securities (USA) Inc. |
| HSBC Brokerage (USA) Inc. | |
| Karrie Renee Parrett | Independent Financial Group LLC |
| Invest Financial Corporation | |
| Douglas A. Rabess | NYLife Securities LLC |
| Joshua James Shelby | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Donald Lee Watson, Jr. | The Jeffrey Matthews Financial Group, LLC |
| Stifel, Nicolaus & Company, Inc. | |
| Mark Nicholas Wesley | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Steven Warren Whelan | MML Investors Services, LLC |
| Pruco Securities, LLC | |
| Terrance Jerome Wilkerson | First Financial Equity Corporation |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Gregory Allen Zale | LPL Financial LLC |
| Royal Alliance Associates, 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.