Securities Arbitration Lawyers BlogRegistered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for January 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 |
| Debbie Sue Arnold | Farmers Financial Solutions LLC |
| Bridgett Elizabeth Beard | |
| Anthony Joseph Calascione | Astor Wealth Management |
| Legend Financial Management | |
| Samuel David Campos | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Ladonna Carlisle | |
| Nichele Alexis Cavins | |
| Shannon Kathleen Daniels | US Bancorp Investments Inc. |
| Commerce Brokerage Services Inc. | |
| Jonathan Roth Ellis | Pruco Securities LLC |
| Michael Joseph Farinella | Allstate Financial Services LLC |
| Ricky Reid Harris Jr. | JP Morgan Securities LLC |
| Oded Joseph Jacobowitz | Securities America Inc. |
| JP Morgan Securities LLC | |
| Erik Scott Jacobsen | Cambridge Investment Research, Inc. |
| Wells Fargo Advisors, LLC | |
| Andrew Scott Jensen | Horner Townsend & Kent Inc. |
| AXA Advisors LLC | |
| Tedla Ebou Khan | Goldman Sachs & Co. |
| Bilal Samouri McClendon | Equinox Securities Inc. |
| JP Turner & Company LLC | |
| Kevin Michael Murphy | BMO Harris Financial Advisors Inc. |
| LPL Financial LLC | |
| Christopher Vincent Paul | Joseph Stone Capital LLC |
| Aegis Capital Corp | |
| Jennifer Rainwater | |
| Theodore Gerald Rothman | First Allied Securities, Inc. |
| Rothman Securities, Inc. | |
| Craig Clifford Ruschmeyer | Feltl & Company |
| Wells Fargo Advisors LLC | |
| David Aaron Seigerman | Janney Montgomery Scott LLC |
| Morgan Stanley Smith Barney | |
| David Garrett Shaw | LPL Financial LLC |
| Private Advisor Group LLC | |
| Ladd W. Tanner | Trustmont Financial Group Inc. |
| Tanner Financial Services LLC | |
| Dang Hung To | Wells Fargo Advisors LLC |
| William Upchurch Jr. | PFS Investments Inc. |
| Michael Vetere | Hornor, Townsend & Kent, Inc. |
| Penn Mutual Life Ins Co | |
| Kuana Nicole Vick | First Citizens Investor Services, Inc. |
| Larry Phillip Vogel | IFS Securities |
| Ausdal Financial Partners Inc. | |
| William Christopher Wade | Prudential Investment Management Services LLC |
| USAA Financial Advisors 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.