{"id":2578,"date":"2017-02-17T00:00:00","date_gmt":"2017-02-17T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-registered-individuals-failure-comply-finra-rules-february-2017\/"},"modified":"2018-10-08T12:37:26","modified_gmt":"2018-10-08T16:37:26","slug":"finra-bars-registered-individuals-failure-comply-finra-rules-february-2017","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-failure-comply-finra-rules-february-2017\/","title":{"rendered":"FINRA Bars Registered Individuals for Failure to Comply with FINRA Rules in February 2017"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for February 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 Troy Christopher Baldridge<\/td>\n\u00a0 Capital Securities Management, Inc.<\/td>\n<\/tr>\n
\u00a0 Anderson & Strudwick, Inc.<\/td>\n<\/tr>\n
\u00a0 Shawn Aaron Bedford<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 William Joseph Broccio<\/td>\n\u00a0 Meyers Associates, LP<\/td>\n<\/tr>\n
\u00a0 Blackbook Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Michael James Coolican IV<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Brian Michael Gamard<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 John Thomas Financial<\/td>\n<\/tr>\n
\u00a0 Brian Marc Kennison<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Financial West Group<\/td>\n<\/tr>\n
\u00a0 Jonathan H. Lowell<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Sekou Mansur McClendon<\/td>\n\u00a0 Equinox Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Cape Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Neil David Pecker<\/td>\n\u00a0 Coastal Equities, Inc.<\/td>\n<\/tr>\n
\u00a0 Vision Financial Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Patrick Lee Perales<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Jean Paul Pierre<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Bryan Daniel Quigley<\/td>\n\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 New England Securities<\/td>\n<\/tr>\n
\u00a0 Kimberly Charisse Rice<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Jon Brett Schmidhammer<\/td>\n\u00a0 Stifel, Nicolaus & Company<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Jay Steven Sutherland<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Patrick Justin White, Sr.<\/td>\n\u00a0 Laidlaw\u00a0 & Company (UK) Ltd.<\/td>\n<\/tr>\n
\u00a0 Blackbook Capital LLC<\/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 February 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 Troy Christopher Baldridge \u00a0 Capital Securities Management, […]<\/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-2578","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals for Failure to Comply with FINRA Rules in February 2017 — Securities Arbitration Lawyers Blog — February 17, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2017, the 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