{"id":2536,"date":"2017-04-04T00:00:00","date_gmt":"2017-04-04T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/registered-individuals-barred-finra-march-2017-failure-comply-finra-rules\/"},"modified":"2018-10-08T12:37:24","modified_gmt":"2018-10-08T16:37:24","slug":"registered-individuals-barred-finra-march-2017-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-march-2017-failure-comply-finra-rules\/","title":{"rendered":"Registered Individuals Barred by FINRA in March 2017 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for March 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

 <\/p>\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 Dennis Dewain Hern<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 First Command Financial Planning, Inc.<\/td>\n<\/tr>\n
\u00a0 Boa Tran Dinh Hoang<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Christopher Wayne Hunt II<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Laurence H. King<\/td>\n\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Domestic Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Reginald Lewis McCarthy<\/td>\n\u00a0 Horace Mann Investors, Inc.<\/td>\n<\/tr>\n
\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Caleb Layton Morris<\/td>\n\u00a0 Country Capital Management Company<\/td>\n<\/tr>\n
\u00a0 Brian Patrick Murphy<\/td>\n\u00a0 Signator Investors, Inc.<\/td>\n<\/tr>\n
\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Peter Michael Riley<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Shaffer<\/td>\n\u00a0 Fordham Financial Management, Inc.<\/td>\n<\/tr>\n
\u00a0 PHX Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Joe Don Treece<\/td>\n\u00a0 Arvest Wealth Management<\/td>\n<\/tr>\n
\u00a0 Raymond James & 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>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for March 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 Dennis Dewain Hern \u00a0 Ameriprise Financial […]<\/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-2536","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Barred by FINRA in March 2017 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 4, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2017, the following individuals were 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