{"id":2470,"date":"2017-06-19T00:00:00","date_gmt":"2017-06-19T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:13","modified_gmt":"2018-10-08T16:37:13","slug":"finra-bars-registered-individuals-may-2017-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for May 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Philip Bagalanon<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Terry Dean Bahgat<\/td>\n\u00a0 Gradient Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Patrick Hugh Dowd<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 John Scott Elliott<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Adam Giardina<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Ryley Grosso<\/td>\n\u00a0 Infinex Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Larry Anthony Ham<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services corp.<\/td>\n<\/tr>\n
\u00a0 Lystra C. Moore-Besson<\/td>\n\u00a0 HSBC Securities (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 HSBC Brokerage (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 Ryan Edward O\u2019Neal Jr.<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Karrie Renee Parrett<\/td>\n\u00a0 Independent Financial Group LLC<\/td>\n<\/tr>\n
\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Brian Thomas Perry<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Meaghan Mary Rumsey<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Cadaret, Grant & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Joshua James Shelby<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Donald Lee Watson Jr.<\/td>\n\u00a0 The Jeffrey Matthews Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Stifel, Nicolaus & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Mark Nicholas Wesley<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Terrance Jerome Wilkerson<\/td>\n\u00a0 First Financial Equity Corporation<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Gregory Allen Zale<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Royal Alliance Associates, Inc.<\/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><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for May 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 Philip Bagalanon \u00a0 Terry Dean Bahgat \u00a0 […]<\/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-2470","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — June 19, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — June 19, 2017\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — June 19, 2017\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for May 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — June 19, 2017\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — June 19, 2017","description":"According to FINRA Disciplinary actions for May 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — June 19, 2017","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — June 19, 2017","twitter_description":"According to FINRA Disciplinary actions for May 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — June 19, 2017","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/","name":"FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — June 19, 2017","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2017-06-19T04:00:00+00:00","dateModified":"2018-10-08T16:37:13+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for May 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — June 19, 2017","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-may-2017-failing-comply-finra-rules\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2470","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=2470"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2470\/revisions"}],"predecessor-version":[{"id":6795,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2470\/revisions\/6795"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=2470"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=2470"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=2470"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}