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Registered Individuals Barred by FINRA in June 2018 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for June 2018, 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

  Donald Nelson Bower III   Edward Jones
  Invest Financial Corp
  Christopher Masharn Bruce   Statefarm VP Management Corp
  Chris Bruce Insurance Agency
  Geoffrey Bret Davidson   Fidelity Brokerage Services LLC
  Miriam Fry   Wells Fargo Clearing Services, LLC
  First Clearing, LLC
  Melanie Haning   UBS Financial Services Inc
  Merrill Lync, Pierce, Fenner & Smith Inc
  Ashley Marie Hostetter
  David Wayne Krumrey   Oppenheimer & Co., Inc
  Stanford Group Company
  Gregory Alan Levine   First Allied Securities, Inc
  MBM Capital Management
  Thomas Williams Manley II   RBC Capital Markets, LLC
  Lloyds Securities
  Gurdey Singh Mann   NYLife Securities LLC
  Christopher Quocthai Nguyen   TD Ameritrade, Inc
  WellsFargo Bank
  Brett Michael Williams   NY Life Securities LLC

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

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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