{"id":2512,"date":"2017-05-08T00:00:00","date_gmt":"2017-05-08T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/registered-individuals-barred-finra-april-2017-failure-follow-finra-rules\/"},"modified":"2018-10-08T12:37:20","modified_gmt":"2018-10-08T16:37:20","slug":"registered-individuals-barred-finra-april-2017-failure-follow-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-april-2017-failure-follow-finra-rules\/","title":{"rendered":"Registered Individuals Barred by FINRA in April 2017 for Failure to Follow FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Roberto Omar Bastardo<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Christopher John Calandrino<\/td>\n\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Cape Securities Inc<\/td>\n<\/tr>\n
\u00a0 Kathy Campos<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Dawn Deshean Davenport<\/td>\n\u00a0 J.P Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Louis Vincent Fontanella Jr.<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 David Lerner Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Wanda L. Gilmer<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Sherman Lee Greer<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 UVest Financial Services Group, Inc.<\/td>\n<\/tr>\n
\u00a0 John Francis Hart<\/td>\n\u00a0 WFG Investments, Inc<\/td>\n<\/tr>\n
\u00a0 Questar Capital Corporation<\/td>\n<\/tr>\n
\u00a0 Raul Enrique Jacobs<\/td>\n\u00a0 T2 Asset Management, LLC<\/td>\n<\/tr>\n
\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 Kyle Ryan Kurtz<\/td>\n\u00a0 Thrivent Investment Management Inc.<\/td>\n<\/tr>\n
\u00a0 Thrivent Financial for Lutherans<\/td>\n<\/tr>\n
\u00a0 Adela Ovadia Levy<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Derrick Joseph Luttrell<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Destina Mantar<\/td>\n\u00a0 Goldman, Sachs & Co.<\/td>\n<\/tr>\n
\u00a0 Roxanna Andrea Marin<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Wesley Marion Oler IV<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Epic Retirement Services Consulting<\/td>\n<\/tr>\n
\u00a0 Richard Byron Raff<\/td>\n\u00a0 Infinex Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 M&F Bank\/Uvest Financial Services<\/td>\n<\/tr>\n
\u00a0 Francesco Anthony Scarso<\/td>\n\u00a0 First Standard Financial Company LLC<\/td>\n<\/tr>\n
\u00a0 PHX Financial, 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 April 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 Roberto Omar Bastardo \u00a0 Wells Fargo Advisors, […]<\/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-2512","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Barred by FINRA in April 2017 for Failure to Follow FINRA Rules — Securities Arbitration Lawyers Blog — May 8, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2017, the following individuals were barred 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