Securities Arbitration Lawyers BlogRegistered Individuals Barred by FINRA in March 2017 for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for March 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 |
| Dennis Dewain Hern | Ameriprise Financial Services, Inc. |
| First Command Financial Planning, Inc. | |
| Boa Tran Dinh Hoang | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Christopher Wayne Hunt II | |
| Laurence H. King | Legend Securities, Inc. |
| Domestic Securities, Inc. | |
| Reginald Lewis McCarthy | Horace Mann Investors, Inc. |
| Allstate Financial Services, LLC | |
| Caleb Layton Morris | Country Capital Management Company |
| Brian Patrick Murphy | Signator Investors, Inc. |
| MetLife Securities Inc. | |
| Peter Michael Riley | Morgan Stanley |
| UBS Financial Services, Inc. | |
| Robert Shaffer | Fordham Financial Management, Inc. |
| PHX Financial, Inc. | |
| Joe Don Treece | Arvest Wealth Management |
| Raymond James & Associates, 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.