Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in July 2017
According to FINRA Disciplinary actions for July 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 |
| Kellye C. Allison | State Farm VP Management Corp. |
| Timothy David Ballard | Securities America, Inc. |
| National Planning Corporation | |
| Damani A. Barham | Morgan Stanley |
| TD Ameritrade, Inc. | |
| Kelley Macon Barham, Jr. | |
| Charles A. Black | Lincoln Financial Advisors Corporation |
| Jason Harry Buchanan | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Alexi Nahun Bustamante | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Donald William Chupp | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Salvatore Joseph Cipriano | Pruco Securities, LLC |
| Laidlaw & Company (UK) Ltd. | |
| Darnell Anthony Deans | Blackbook Capital, LLC |
| John Carris Investments LLC | |
| Lee Edward Farmer | Wells Fargo Advisors, LLC |
| A.G. Edwards & Sons, Inc. | |
| Joshua Adam Frederico | |
| Kristopher A. Galicia Rodriguez | NYLife Securities LLC |
| Kevin Grewal | Keystone Capital Corporation |
| Fawad Hasan | Wells Fargo Clearing Services, LLC |
| Derrick Franklin Howard | Allstate Financial Services, LLC |
| James Thomas Jurewicz | T3 Trading Group, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Molly M. Jury | Merrill Lynch, Pierce, Fenner & Smith inc. |
| Ronald Frances Konchalski | Farmers Financial Solutions, LLC |
| Allstate Financial Services, LLC | |
| Douglas Anthony Leone | Salomon Whitney Financial |
| Newport Coast Securities, Inc. | |
| Robert Kenneth Lindell | Richfield Orion International, Inc. |
| Revere Securities Corp. | |
| Christian A. Paul | Worth Financial Group Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Craig Allan Price | Raymond James Financial Services, Inc. |
| Edward Jones | |
| Gregory David Pryce | Invest Financial Corporation |
| TFS Securities, Inc. | |
| Ernest Julius Romer III
|
Corecap Investments, Inc. |
| Windsor Sheffield | |
| Paul Edward Seaward | Foresters Financial Services, Inc. |
| First Investors Corporation | |
| Mark Eliot Silverman | MML Investors Services, LLC |
| Park Avenue Securities LLC | |
| Jason Soricelli | |
| Brian Eugene Sturges | P.J. Robb Variable Corporation |
| Financial Telesis Inc. | |
| Jordan Robert Tait | Farmers Financial Solutions, LLC |
| Bethany Chanel Thompson | Foresters Financial Services, Inc. |
| Christopher John Tiernan | Farmers Financial Solutions, LLC |
| Juan Ramon Uriarte Jr. | J.P. Morgan Securities LLC |
| Rosa Alicia Vazquez | Integrity Brokerage Services, Inc. |
| White Pacific Securities, Inc. | |
| Hung Quoc Vu | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Julie Ann Wells | |
| Becky Woo | Citigroup Global Markets Inc. |
| HSBC Securities (USA) 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.