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In December 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for December 2018, 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

  Barrick, Tabor   FBL Marketing Services, LLC
  Allstate Financial Services, LLC
  Conklin, Jeffrey   The Huntington Investment Company
  American General
  Crocker, Sierra   Voya Financial Partners, LLC
  Suntrust Bank
  Fidelman, Peter   Bradley Woods & Co LTD
  Griffin Securities, Inc
  Gaston, Frantz   State Farm VP Management Corp
  Frantz Gaston Jr Insurance Agency
  Guillory, Michael   Financial West Group
  The Shemano Group
  Harris, Donna   Vanguard Marketing Corp
  Hartigan, John   Entrustpermal Securities LLC
  Calyon Financial Inc
  Henty, Omar   Cetera Advisors LLC
  JP Morgan Securities
  King, Erin   Wells Fargo Clearing Services
  Lossing, Christopher   LPL Financial LLC
  Edward Jones
  McNeil, Randolph   Buckman, Buckman & Reid, Inc
  Garden State Securities, Inc
  Manichino, Richard   Next Financial Group, Inc
  Wunderlich Securities, Inc
  Nicholl, Timothy
  Olson, Eric   NYLIFE Securities LLC
  Wells Fargo
  Perez, Paul   Investacorp, Inc
  Fintegra, LLC
  Simon, Justin   NYLIfe Securities LLC
  Country Capital Mgmt Company
  Strawn, Brandon
  Sullivan, Daniel   Wunderlich Securities, Inc
  Chapdelaine & Co
  Tinsley, Sean   Park Avenue Securities LLC
  AXA Advisors, LLC
  Vallencourt, Peter   Fidelity Brokerage Services LLC
  Wilson, Vance   Wells Fargo Clearing Services, LLC
  Fidelity Brokerage Services LLC
  Witt, Robert   Voya Financial Advisors, Inc
  ING Financial Partners, Inc
  Wood, Daniel   LPL Financial LLC
  Morgan Stanley Smith Barney
  Wright, Bryan   Pruco Securities, LLC
  The Prudential Insurance Company of America

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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