Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in November 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for November 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 |
| Donald C. Blackwell | Calton & Associates, Inc. |
| J.P. Turner & Company, LLC | |
| Samiul Anam Chowdhury | MML Investors Services, LLC |
| NYLife Securities LLC | |
| Wayne Earl Cooksey | Lincoln Financial Advisors Corporation |
| Argenis T. Cortes | Charles Schwab & Co., Inc. |
| J.P. Morgan Securities LLC | |
| Vincent Frank D’Accardi | Stifel, Nicolaus & Company, Inc |
| Matthew Evan Eckstein | Gould, Ambroson & Associates Ltd. |
| Sisk Investment Services, Inc. | |
| Christopher Anthony Fernan | Salomon Whitney Financial |
| Rockwell Global Capital, LLC | |
| Matthew Douglas Garrett | MML Distributors, LLC |
| Suhail Saleem Khan | LPL Financial LLC |
| Kingsview Asset Management, LLC | |
| Rick Douglas Konecny | National Securities Corporation |
| J.P. Morgan Securities LLC | |
| Spencer David Laufer | J.H. Darbie & Co., Inc. |
| Joseph Stone Capital LLC | |
| Kevin Allen Mee | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Cornelius Peterson | Morgan Stanley |
| Stanley Calvin Pigue | Edward Jones |
| James S. Polese | Morgan Stanley |
| UBS Financial Services Inc. | |
| Jordan Charles Rodden | LPL Financial LLC |
| Raymond James & Associates, Inc. | |
| Amus Desmond Stevens | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Jamie Yuvonne Strickland | Suntrust Investment Services, Inc. |
| Wells Fargo Advisors, 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.