Securities Arbitration Lawyers BlogIn 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.