{"id":2514,"date":"2017-05-08T00:00:00","date_gmt":"2017-05-08T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-april-2017-violations-finra-rules\/"},"modified":"2018-10-08T12:37:23","modified_gmt":"2018-10-08T16:37:23","slug":"finra-suspends-registered-individuals-april-2017-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-april-2017-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in April 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Miguel Anel Aguilar<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Steven Preston Alexander<\/td>\n\u00a0 Citizens Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 CUNA Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Jared Cody Artho<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Amadou Bah<\/td>\n\u00a0\u00a0 Maxim Group LLC<\/td>\n<\/tr>\n
\u00a0 Garden State Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael W Benjamin<\/td>\n\u00a0 State Farm VP Management Corp.<\/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 Amanda Yvette Burnett<\/td>\n\u00a0 Invest Financial Corporation<\/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 Joni Carrera<\/td>\n <\/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 Chad Daniel Hornaday<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 National Planning Corporation<\/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 Matthew J. Houtz<\/td>\n\u00a0 Raymond James & Associates, 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 Adam Anthony Jurczyk<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 John James Joseph Labrie<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Alexander Lewis<\/td>\n\u00a0 Northwestern Mutual Investment Services LLC<\/td>\n<\/tr>\n
\u00a0 Derek James Longmuir<\/td>\n\u00a0 Advisors Asset Management, Inc.<\/td>\n<\/tr>\n
\u00a0 First Trust Portfolios LP<\/td>\n<\/tr>\n
\u00a0 Elijah Robert Maldonado<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 David K. Mallett<\/td>\n\u00a0 Wunderlich Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Stephens Inc.<\/td>\n<\/tr>\n
\u00a0 Raymond Edward Martin<\/td>\n <\/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 Andrew Michael Pritchard<\/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 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Nathan Robert Trodahl<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Daniel L. Waters<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Sherman Marcel White<\/td>\n\u00a0 Wayne Hummer Investments LLC<\/td>\n<\/tr>\n
\u00a0 US Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Brian Scot Winchester<\/td>\n\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Sunset Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 William Brian Wyman<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Royal Alliance Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Kevin Jin Yi<\/td>\n\u00a0 Voya Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 James Seokhoon Yoon<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/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><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for April 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 Miguel Anel 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-2514","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in April 2017 for Violations of 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 suspended 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