{"id":2580,"date":"2017-02-17T00:00:00","date_gmt":"2017-02-17T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-violations-finra-rules-february-2017\/"},"modified":"2018-10-08T12:37:29","modified_gmt":"2018-10-08T16:37:29","slug":"finra-suspends-registered-individuals-violations-finra-rules-february-2017","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-february-2017\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in February 2017"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for February 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
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 Bernard B. Beal<\/td>\n\u00a0\u00a0 Blaylock Robert Van LLC<\/td>\n<\/tr>\n
\u00a0 M.R. Beal & Company<\/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 Munaem Choudhury<\/td>\n\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Brookstone Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Donald Joseph Coleman<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Dawn Deshean Davenport<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Thomas A. Davis<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 John Scott Elliott<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/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 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 T2 Asset Management, LLC<\/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 Roxanna Andrea Marin<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Farid Morim<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Ryan Edward O\u2019Neal Jr.<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Brian Thomas Perry<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/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
\u00a0 Keith Patrick Sequeira<\/td>\n\u00a0 Royal Alliance Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/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 Melanie Sherry Sweet<\/td>\n\u00a0 Hamershlag Sulzberger Borg Capital Markets<\/td>\n<\/tr>\n
\u00a0 Southlake 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 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 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-2580","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of 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 following individuals 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