{"id":2472,"date":"2017-06-19T00:00:00","date_gmt":"2017-06-19T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-may-2017-violations-finra-rules\/"},"modified":"2018-10-25T13:05:48","modified_gmt":"2018-10-25T17:05:48","slug":"finra-suspends-registered-individuals-may-2017-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-may-2017-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in May 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for May 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Dimitris Alifragis<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Ricardo Alonzo Jr.<\/td>\n<\/td>\n<\/tr>\n
\u00a0 David William Beutler<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Prudential Securities Incorporated<\/td>\n<\/tr>\n
\u00a0 J. Gordon Cloutier Jr.<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Donald Joseph Coleman<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Charles Maxwell Cox<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Chases Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Laura Johnson Craven<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0Thomas A. Davis<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Megan Eilers<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 First Clearing, LLC<\/td>\n<\/tr>\n
\u00a0 Ayrton Pierce Haddad<\/td>\n\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 E*Trade Securities LLC<\/td>\n<\/tr>\n
\u00a0 Scott William Hartman<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Sanford C. Bernstein & Co., LLC<\/td>\n<\/tr>\n
\u00a0 Stephen Johnathan Hoshimi<\/td>\n\u00a0 Crescent Securities Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Capwest Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Israel Jurkevicz<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Shawn Brett Larkin<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Richard Muzquiz Jr.<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Sharon Theresa Noonan<\/td>\n\u00a0 Allstate Financial Services LLC<\/td>\n<\/tr>\n
\u00a0 Prudential Securities Incorporated<\/td>\n<\/tr>\n
\u00a0 Olateju Samson Oyeniyi<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Michael Jason Ripper<\/td>\n\u00a0 International Assets Advisory, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Peter Rose<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Teresita Santos Santos<\/td>\n\u00a0 Tramsamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Bimal Kishore Shah<\/td>\n\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 WRP Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Bryan Michael Snyder<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Cory Ward Taylor<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Xin Wang<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Matthew Edward Witkowski<\/td>\n\u00a0 Vanguard Marketing Corporation<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/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 May 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 Dimitris Alifragis \u00a0 Ricardo Alonzo Jr. \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-2472","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in May 2017 for Violations of 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 suspended 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