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

According to FINRA Disciplinary actions for March 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
  Benjamin Glasser Aibel  Wunderlich Securities, Inc.
 Sanders Morris Harris Inc.
  Carter Page Brooks  Wells Fargo Clearing Services, LLC
 Edward Jones
  Christopher Masharn Bruce  State Farm VP Management Corp
  Abel Chaves  Farmers Financial Solutions, LLC
  Christian Colon  Ausdal Financial Partners, Inc.
 UBS Financial Services, Inc
  Randolph Lee Eddlemon III  Geneos Wealth Management, Inc
 Schooner Financial Associates
  Carlos Nestor Evertsz-Seda  K.C. Ward Financial
 J.P. Turner & Company, LLC
  Patrick Jahmar Fearon  J.P. Morgan Securities LLC
  Kenneth Taylor Foreman  Securities America, Inc.
 Foothill Securities, Inc.
  Miriam Fry  Wells Fargo Clearing Services, LLC
 First Clearing, LLC
  Sherie Irene Gaunt  Gill Capital Partners
  Roy Aurelio Gaytan  Transamerica Financial Advisors, Inc
 World Group Securities, Inc.
  Kevin Richard Graetz  Paulson Investment Company LLC
 Roth Capital Partners, LLC
  Minish Joe Hede  Paulson Investment Company LLC
 Roth Capital Partners, LLC
  Shane Jason Kelly  LPL Financial LLC
 Suntrust Investment Services, Inc.
  Atiq Urrehman Khan  Transamerica Financial Advisors, Inc
 World Group Securities, Inc
  Kimberly Pine Kitts  Royal Alliance Associates, Inc.
 Sound Financial, LLC
  David Wayne Krumrey  Oppenheimer & Co Inc.
 Stanford Group Company
  Gregory Alan LeVine  First Allied Securities, Inc.
 Commonwealth Financial Network
  Peter Jack Margaros  State Farm VP Management Corp.
  Oscar Nunez  J.H. Darbie & Co. Inc
 Blackbrook Capital, LLC
  Keisha Diane Pizzo
  Eric P. Poague  Edward Jones
 Lincoln Financial Advisors Corporation
  Vanessa Beth-Anne Reeves-Farry  J.P. Morgan Securities LLC
 Chase Investment Services Corp.
  Tyler V. Schultz  MML Investor Services, LLC
 MetLife Securities, Inc.
  Luis Alberto Zuniga

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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