Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in October 2016 for Violations of FINRA Rules
According to FINRA Disciplinary actions for October 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 |
| Maricela Alvarez | JP Morgan Securities LLC |
| Rushton Leigh Ardrey III | Newport Coast Securities, Inc. |
| White, Weld & Co. Securities, LLC | |
| Michael Benjany | National Securities Corporation |
| JP Morgan Securities LLC | |
| Kristen Denys Bartley | Morgan Stanley |
| Touchstone Securities, Inc. | |
| Dawn Bennett | Western International Securities, Inc. |
| Royal Alliance Associates, Inc. | |
| Terry Stephen Carraher | LSA Securities, Inc. |
| Allstate Financial Services, LLC | |
| Christopher Jeffrey Daniel | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Charles Schwab & Co., Inc. | |
| Paul Edward Dorion | LPL Financial LLC |
| Nathan & Lewis Securities, Inc. | |
| John Ezmat | AXA Advisors, LLC |
| Noel Flemming | Revere Securities LLC |
| Jesup & Lamont Securities Corp | |
| Yohandy Gonzalez | JP Morgan Securities LLC |
| AXA Advisors, LLC | |
| Stephen Duncan Grant | Security Research Associates, Inc. |
| Legend Merchant Group, Inc. | |
| James Walter Ignatowich | Newbridge Securities Corporation |
| Investors Capital Corp. | |
| EvaJean Marie Jackson | Equinox Securities, Inc. |
| Oded Joseph Jacobwitz | Securities America, Inc. |
| JP Morgan Securities LLC | |
| Russell A. Kellock | Charles Schwab & Co., Inc. |
| Dana Liesl McMillin | Jackson National Life Distributors LLC |
| Christopher A. Parris | The Lucian Group |
| Nationwide Securities, Inc. | |
| Myrna Margarita Perez | Morgan Stanley |
| Lehman Brothers Inc. | |
| Raymond John Pirrello Jr. | Garden State Securities, Inc. |
| The Concord Equity Group, LLC | |
| Robinson Rodriguez | JP Morgan Securities LLC |
| David Aaron Seigerman | Janney Montgomery Scott LLC |
| Morgan Stanley | |
| Michael Alan Siegel | National Securities Corporation |
| Concorde Investment Services, LLC | |
| Stewart Field Smith | Center Street Securities, Inc. |
| Questar Capital Corporation | |
| Frank Rowlin Underhill Jr. | Underhill Securities Corp. |
| DRF Business and Financial Services, LLC | |
| William Upchurch Jr. | PFS Investments Inc. |
| Primerica Financial Services | |
| Travis Michael Vandermale | Farmers Financial Solutions, LLC |
| William Christopher Wade | Prudential Investment Management Services LLC |
| USAA Financial Advisors, Inc. | |
| Cindy Ah Ran Yi | |
| Julie Marie Ziolkowski | Fidelity Brokerage Services 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.