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FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017

According to FINRA Disciplinary actions for December 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:

  Florjan Beqo   J.P. Morgan Securities LLC
  Benjamin Philip Brown   State Farm VP Management Corp.
  Joseph Calascione
  Sonya D. Camarco   LPL Financial LLC
  Linsco/Private Ledger Corp
  Benjamin Asa Duty   State Farm VP Management Corp.
  Oscar R. Galdamez   AXA Advisors, LLC
  Michael D. Graham   Northwestern Mutual Investment Services, LLC
  Steven Harris   MML Investors Services, LLC
  MSI Financial Services, LLC
  Kimberlyann Huegel   Vanguard Marketing Corporation
  The Vanguard Group, Inc.
  Randall William Hunt   Ameriprise Financial Services, Inc.
  Stifel, Nicolaus & Company, Inc.
  Alana Marie Lewis   Edward Jones
  Garrett Dalton Martin   J.P. Morgan Securities LLC
  Peter Andrew O’Hara   Charles Schwab & Co., Inc.
  Hong Kun Pan   Pruco Securities, LLC
  Jay Anthony Pandy-Tatum   Charles Schwab & Co., Inc.
  Youngsoo Park   J.P. Morgan Securities LLC
  Gary Dennis Ruiz   Citigroup Global Markets, Inc.
  Capital One Investing, LLC
  Simon Boowon Song   AXA Advisors, LLC
  Dawn Louise Stephens   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Lynn Shuster Strain   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors LLC
  Melanie Sherry Sweet   Hamershlag Sulzberger Borg Capital Markets, Inc.
  Southlake Capital, LLC
  Joseph Francis Valdini   Aegis Capital Corp.
  Worden Capital Management LLC
  Dawei Wang   Merrill Lynch, Pierce, Fenner &Smith Inc.
  Scottrade, Inc.
  Russell L. Woodley   Citizens Securities, 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.

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