{"id":2469,"date":"2017-07-07T00:00:00","date_gmt":"2017-07-07T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-violations-finra-rules\/"},"modified":"2018-10-08T12:37:11","modified_gmt":"2018-10-08T16:37:11","slug":"finra-suspends-registered-individuals-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in June 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for June 2017, the following individuals were suspended 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\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 Devin Barkley<\/td>\n\u00a0 MetLife Investors Distribution Company<\/td>\n<\/tr>\n
\u00a0 MetLife Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Alonza Barnett Jr.<\/td>\n\u00a0 Ameritas Investment Corp.<\/td>\n<\/tr>\n
<\/td>\n<\/tr>\n
\u00a0 Wilbert Norman Belizaire Jr.<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Amalia Bocanegra<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Christopher Canale<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Daniel P. Capeless<\/td>\n\u00a0 FBR Capital Markets & Co.<\/td>\n<\/tr>\n
\u00a0 Juliana Castaneda<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Nenita Blas Causing<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Andrey Chekalin<\/td>\n\u00a0 Eagle Strategies LLC<\/td>\n<\/tr>\n
\u00a0 NYLife Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Wilson Chung<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kenneth Paul Collins Jr.<\/td>\n\u00a0 Union Capital Company<\/td>\n<\/tr>\n
\u00a0 Money Concepts Capital Corp<\/td>\n<\/tr>\n
\u00a0 Thomas Eric Constable<\/td>\n\u00a0 ADP Broker-Dealer, Inc.<\/td>\n<\/tr>\n
\u00a0 Sebastian Joshua Dimond<\/td>\n\u00a0 Vanguard Marketing Corporation<\/td>\n<\/tr>\n
\u00a0 JP Morgan Chase<\/td>\n<\/tr>\n
\u00a0 Edwin Waite Duguie Jr.<\/td>\n<\/td>\n<\/tr>\n
\u00a0 John Charles Epting Jr.<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jeffrey Edward Ermi<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Wachovia Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Arsola Feransou<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Felicia Anne Figueroa<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Nicholas C. Gallo<\/td>\n\u00a0 Cova Capital Partners LLC<\/td>\n<\/tr>\n
\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 David Monroe Hawkes<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher Lowell Jackson<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Jamar Darcel Jenkins<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Richard Michael Jones<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Tika Justice<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Leslie Ann Kaplan<\/td>\n\u00a0 HSBC Securities (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Sean David Kaplan<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Comprehensive Asset Management and Servicing<\/td>\n<\/tr>\n
\u00a0 Jeffrey Timothy Kluge<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 John Bradford Leonard<\/td>\n\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Wachovia Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Jonathan Ryan Levano<\/td>\n\u00a0 JP Morgan Securities, LLC.<\/td>\n<\/tr>\n
\u00a0 Cameron Blake Lovitt<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Christopher Russell McNamee<\/td>\n\u00a0 Dakota Securities International, Inc.<\/td>\n<\/tr>\n
\u00a0 Sterling Financial Investment Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Melanie Ann Melton<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Nicholas Henry Millas<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Rachel Marie Millyard<\/td>\n\u00a0 Infinex Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Essex National Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Shayne Arlington Nelson<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 David Ng<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Darian Curtis Norris<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Patrick John O\u2019Brien<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Vivien Li Ching Ong<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Robert A. Perconte<\/td>\n\u00a0 Summit Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Daniel Prudencio<\/td>\n\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Raymond Jesus Rodriguez<\/td>\n<\/td>\n<\/tr>\n
\u00a0 William Edward Roe<\/td>\n\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 Crowell, Weedon & Co.<\/td>\n<\/tr>\n
\u00a0 Donald John Saccomano<\/td>\n\u00a0 Source Capital Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Nicholas Adel Somo<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael Allen Sparks<\/td>\n\u00a0 JJB Hilliard, WL Lyons LLC<\/td>\n<\/tr>\n
\u00a0 DMG Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jennifer Anne Spencer<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 TIAA-CREF Individual & Institutional Services, LLC<\/td>\n<\/tr>\n
\u00a0 Alec Michael Tracy<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 MMC Securities Corp.<\/td>\n<\/tr>\n
\u00a0 Justin Martin West<\/td>\n\u00a0 JP Morgan Securities LLC<\/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 suspended 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 Devin Barkley \u00a0 MetLife Investors Distribution Company […]<\/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-2469","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in June 2017 for Violations of 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 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