Securities Arbitration Lawyers BlogIn 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.