{"id":2467,"date":"2017-07-07T00:00:00","date_gmt":"2017-07-07T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-registered-individuals-june-2017-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:08","modified_gmt":"2018-10-08T16:37:08","slug":"finra-bars-registered-individuals-june-2017-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-june-2017-failing-comply-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in June 2017 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for June 2017, the following individuals were barred from FINRA<\/a> 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:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Miguel Angel Aguilar<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Steve Preston Alexander<\/td>\n\u00a0 Citizens Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 CUNA Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Amadou Bah<\/td>\n\u00a0 Maxim Group LLC<\/td>\n<\/tr>\n
\u00a0 Garden State Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 John W. Boals<\/td>\n\u00a0 Allstate Financial Services,, LLC<\/td>\n<\/tr>\n
\u00a0 Lionel Brooks Jr.<\/td>\n\u00a0 Merrill Lynch, Pierce Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Oppenheimer & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Sandra Canaba<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Barry Franklin Connell<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Pamela A. Daniels<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Charles Greer Denormandie III<\/td>\n\u00a0 Commonwealth Financial Network<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Leah Rose Fox-Greenberg<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jennifer Marie Gonzalez<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Matthew J. Houtz<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Barry Jin<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Lampert Capital Markets, Inc.<\/td>\n<\/tr>\n
\u00a0 Jennifer Rebecca Johnson<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Martin Jones<\/td>\n\u00a0 Goldman Sachs & Co.<\/td>\n<\/tr>\n
\u00a0 Adam Anthony Jurczyk<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Alexander Lewis<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLVC<\/td>\n<\/tr>\n
\u00a0 Quinn Alexander McClendon<\/td>\n\u00a0 Citizens Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Mutual of Omaha Investor Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Luan Quoc Nguyen<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Timothy John Reed<\/td>\n\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Steven Barry Sitzer<\/td>\n\u00a0 Dinosaur Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Raynard Keshav Sookdial<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Quynh Ngoc Tran<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kevin Jin Yi<\/td>\n\u00a0 Voya Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Young Min Yun<\/td>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases through FINRA arbitration or court.\u00a0 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<\/a>.\u00a0 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.<\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for June 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 \u00a0 Miguel Angel Aguilar \u00a0 MML Investors Services, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577],"tags":[],"class_list":["post-2467","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in June 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — July 7, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2017, the following individuals were barred 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