Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in September 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for September 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 |
| Christina Albert | |
| Woodley Hannon Bagwell | Raymond James & Associates, Inc. |
| Morgan Keegan & Company, Inc. | |
| Helle Romer Bannister | J.P. Morgan Securities LLC |
| HighTower Securities, LLC | |
| Sonya Michelle Brown | |
| Jason Harry Buchanan | Morgan Stanley Smith Barney |
| Citigroup Global Markets Inc. | |
| Daniel P. Capeless | FBR Capital Markets & Co. |
| Donald William Chupp | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Wesley Claflin | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Brett Allen DeFore | Raymond James & Associates, Inc. |
| Morgan Keegan & Company, Inc. | |
| Theophilus K. Denanyoh | |
| Daniel Paul Doogs | Ameriprise Financial Services, Inc. |
| IDS Life Insurance Company | |
| Daniel A. Dupont | Santander Securities LLC |
| Mutual of Omaha Investor Services, Inc. | |
| John Charles Epting, Jr. | Transamerica Financial Advisors, Inc. |
| World Group Securities, Inc. | |
| Mark Joseph Flanagan | Citigroup Global Markets Inc. |
| Wells Fargo Advisors, LLC | |
| Edward Kenneth Frost | Western International Securities, Inc. |
| GBS Financial Corp. | |
| Mariam Gabashvili | J.P. Morgan Securities LLC |
| Charles Edwin Garrison | Davenport & Company LLC |
| First Union Securities, Inc. | |
| Albert Sidney Gersh | LPL Financial LLC |
| Morgan Stanley DW Inc. | |
| Robert Constantine Gray | Farmers Financial Solutions, LLC |
| Robert Norman Greco | Morgan Stanley |
| Leanna Greene | State Farm VP Management Corp. |
| John Kaleihiehie Kai | First Allied Securities, Inc. |
| Commonwealth Financial Network | |
| Chea Anetta Ledbetter | |
| Matthew M. McDonagh | Osprey Partners LLC |
| Cabot Lodge Securities LLC | |
| Terry Mark Mlodzik | UBS Financial Services Inc. |
| Michael Ryan Mueller | Fidelity Brokerage Services LLC |
| Sampson Pearson, Jr. | Northwestern Mutual Investment Services, LLC |
| Robert W. Baird & Co. Inc | |
| Craig Allan Price | Raymond James Financial Services, Inc. |
| Craig A. Price LLC | |
| Frank Blaise Anthony Restifo, Jr. | The Huntington Investment Company |
| Carlos Antonio Rodriguez | UBS Financial Services Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Matthew Carl Shepard | Securian Financial Services, Inc. |
| Carty & Company, Inc. | |
| Mark Eliot Silverman | MML Investors Services, LLC |
| Park Avenue Securities LLC | |
| David Edward Smith | The Huntington Investment Company |
| Jon William Stagnone | Fidelity Brokerage Services LLC |
| Maria Nancy Tamburro | Ameriprise Financial Services, Inc. |
| John Anthony Vedovino | Wells Fargo Advisors, LLC |
| HFP Capital Markets LLC | |
| Matthew D. Webster | Wells Fargo Advisors, LLC |
| Cadaret, Grant & Co., 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.