Securities Arbitration Lawyers BlogRegistered Individuals Barred by FINRA in April 2017 for Failure to Follow FINRA Rules
According to FINRA Disciplinary actions for April 2017, 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 |
| Roberto Omar Bastardo | Wells Fargo Advisors, LLC |
| Christopher John Calandrino | Joseph Stone Capital LLC |
| Cape Securities Inc | |
| Kathy Campos | |
| Dawn Deshean Davenport | J.P Morgan Securities LLC |
| Louis Vincent Fontanella Jr. | Allstate Financial Services, LLC |
| David Lerner Associates, Inc. | |
| Wanda L. Gilmer | |
| Sherman Lee Greer | LPL Financial LLC |
| UVest Financial Services Group, Inc. | |
| John Francis Hart | WFG Investments, Inc |
| Questar Capital Corporation | |
| Raul Enrique Jacobs | T2 Asset Management, LLC |
| Waddell & Reed | |
| Kyle Ryan Kurtz | Thrivent Investment Management Inc. |
| Thrivent Financial for Lutherans | |
| Adela Ovadia Levy | |
| Derrick Joseph Luttrell | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Charles Schwab & Co., Inc. | |
| Destina Mantar | Goldman, Sachs & Co. |
| Roxanna Andrea Marin | Wells Fargo Advisors, LLC |
| Wesley Marion Oler IV | LPL Financial LLC |
| Epic Retirement Services Consulting | |
| Richard Byron Raff | Infinex Investments, Inc. |
| M&F Bank/Uvest Financial Services | |
| Francesco Anthony Scarso | First Standard Financial Company LLC |
| PHX Financial, Inc. |
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.