Securities Arbitration Lawyers BlogIn December 2015, FINRA Bars Individuals for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for December 2015, the following individuals were barred 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 |
| David Michael Burke | Shearson Financial Services, LLC |
| Sunbelt Securities, Inc. | |
| Michael Joseph Cassano | Metlife Securities, Inc. |
| Eduardo Jhonattan Chacon Melgarejo | J.P. Morgan Securities, LLC |
| Johnnie L. Christopher, Jr. | J.P. Morgan Securities, LLC |
| Chase Investment Services Corp. | |
| Ina E. Collazo | J.P. Morgan Securities, LLC |
| Chase Investment Services Corp. | |
| Stephen Anthony Dalla Torre | PNC Investments |
| Wachovia Securities, LLC | |
| Andrea Lynn Fayette | |
| Ricardo Francois | Caldwell International Securities |
| PHD Capital | |
| Sean Thomas Lopez | J.P. Morgan Securities, LLC |
| Albert Manzo | J.P. Morgan Securities, LLC |
| Andrew Marzec | Newbridge Securities Corporation |
| Global Arena Capital Corp | |
| Richard Allen McGuire | Newport Coast Securities, Inc. |
| Financial West Group | |
| Frederick Eugene Monroe, Jr. | Voya Financial advisors, Inc. |
| ING Financial Partners | |
| Paul Anthony Posillico | Aegis Capital Corp. |
| Obsidian Financial Group, LLC | |
| Jessica Claire Sampel | |
| Grace W. Smith | TIAA-CREF Individual & Institutional Services, LLC |
| Wells Fargo Advisors, LLC | |
| James Coleman Starks | Caldwell International Securities |
| PHD Capital | |
| Alfred Talens, Jr. | LPL Financial LLC |
| New England Securities | |
| Victor Tarkang |
Metlife Securities, Inc. |
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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.