Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules in May 2016
According to FINRA Disciplinary actions for May 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 |
| Gordon W. Adamson | Farmers Financial Solutions, LLC |
| Stephen R. Anders | Capital One Investing, LLC |
| BB&T Investment Services, Inc. | |
| Alex Ernesto Batlle | Forest Securities, Inc. |
| Princor Financial Services Corporation | |
| James Frederick Brennan | T.R. Winston & Company, LLC |
| Gilford Securities Incorporated | |
| Christopher David Campbell | Waddell & Reed |
| Ruben Emilio Cardenas | BBVA Securities Inc. |
| BBVA Compass Investment Solutions, Inc. | |
| Jessica Alyssa Diaz | Nationwide Investment Services Corporation |
| David Glenn Gott | Ausdal Financial Partners, Inc. |
| Berthel, Fisher & Company Financial Services, Inc. | |
| Ronald Fred Hanson | Valmark Securities, Inc. |
| Securities America, Inc. | |
| Daniel Helkowski III | Allstate Financial Services, LLC |
| Nationwide Securities, Inc. | |
| Li-Lin Hsu | Ameriprise Financial Services, Inc. |
| Jose Alberto Huerta | Wells Fargo Advisors, LLC |
| Fidelity Brokerage Services LLC | |
| Adrian Jablonski | J.P. Morgan Securities LLC |
| First Midwest Securities, Inc. | |
| Sean Francis Lanci | Rothschild Lieberman LLC |
| J. Streicher Capital LLC | |
| Quyen Chi Loong | Aaron Capital Inc |
| Metlife Securities Inc. | |
| Elizabeth Grimaneza Looper | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Calvin Edward Moores | Independent Financial Group, LLC |
| Centaurus Financial Inc. | |
| Justin L. Norris | NYLife Securities LLC |
| Rafael Angel Ortiz | Cetera Investment Services LLC |
| J.P. Morgan Securities LLC | |
| Natalia Pesin | Pruco Securities, LLC |
| Linda A. Rapp | |
| Virgil Queano Santos Jr. | Allstate Financial Services, LLC |
| John M. Sayre | PFS Investments Inc. |
| Brian Edward Shamash | State Farm VP Management Corp. |
| Keith Everett Sorrentino | Stock USA Execution Services, Inc. |
| Regal Securities, Inc. | |
| Michael John Tordone | TSC Distributors, LLC |
| Lazard Asset Management Securities LLC | |
| David Scott Whitesel | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| David Lee Willis | Allstate Financial services, LLC |
| Prudential Securities Incorporated | |
| Eugene Harold Wray | PFS Investments 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.