Securities Arbitration Lawyers BlogRegistered Individuals Barred by FINRA for Violations of FINRA Rules
According to FINRA Disciplinary actions for October 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 |
| Bennett Scott Broad | Oppenheimer & Co. Inc. |
| UBS PaineWebber Inc. | |
| Antonio Costanzo | Titus Rockefeller, LLC |
| IFS Securities | |
| Steven Craig Duprey | |
| Niaz Elmazi aka Nick Morrisey | Global Arena Capital Corp |
| HFP Capital Markets LLC | |
| John A. Gervasi | Brookville Capital Partners |
| Paige Strother Hays | J.P. Morgan Securities |
| Michael Ross Highfill | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Morgan Stanley & Co Inc | |
| Jose Manuel Irizarry | UBS Financial Services Inc. |
| Santander Securities | |
| Keith Joseph Kobziewicz | MidAmerica Financial Services, Inc. |
| Kovack Securities Inc. | |
| Robert Mas Laborete | TD Ameritrade, Inc. |
| Jack White & Company, Inc. | |
| Scott Lyndon Martin | Securities America, Inc. |
| Brecek & Young Advisors, Inc. | |
| Silvia Navarro Vallesillo | |
| Marcus Antonio Ortega | J.P. Morgan Securities LLC |
| Rachael N. Register | |
| Matthew J. Semetulskis | J.P. Morgan Securities LLC |
| Christopher Anthony Sumner | SCF Securities, Inc. |
| Puplava Securities, Inc. | |
| Melonie P. Thomas |
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.