{"id":2610,"date":"2017-01-23T00:00:00","date_gmt":"2017-01-23T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:31","modified_gmt":"2018-10-08T16:37:31","slug":"registered-individuals-barred-finra-january-2017-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/","title":{"rendered":"Registered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for January 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\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 Debbie Sue Arnold<\/td>\n\u00a0 Farmers Financial Solutions LLC<\/td>\n<\/tr>\n
\u00a0 Bridgett Elizabeth Beard<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Anthony Joseph Calascione<\/td>\n\u00a0 Astor Wealth Management<\/td>\n<\/tr>\n
\u00a0 Legend Financial Management<\/td>\n<\/tr>\n
\u00a0 Samuel David Campos<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Ladonna Carlisle<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Nichele Alexis Cavins<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Shannon Kathleen Daniels<\/td>\n\u00a0 US Bancorp Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Commerce Brokerage Services Inc.<\/td>\n<\/tr>\n
\u00a0 Jonathan Roth Ellis<\/td>\n\u00a0 Pruco Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael Joseph Farinella<\/td>\n\u00a0 Allstate Financial Services LLC<\/td>\n<\/tr>\n
\u00a0 Ricky Reid Harris Jr.<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Oded Joseph Jacobowitz<\/td>\n\u00a0 Securities America Inc.<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Erik Scott Jacobsen<\/td>\n\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Andrew Scott Jensen<\/td>\n\u00a0 Horner Townsend & Kent Inc.<\/td>\n<\/tr>\n
\u00a0 AXA Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Tedla Ebou Khan<\/td>\n\u00a0 Goldman Sachs & Co.<\/td>\n<\/tr>\n
\u00a0 Bilal Samouri McClendon<\/td>\n\u00a0 Equinox Securities Inc.<\/td>\n<\/tr>\n
\u00a0 JP Turner & Company LLC<\/td>\n<\/tr>\n
\u00a0 Kevin Michael Murphy<\/td>\n\u00a0 BMO Harris Financial Advisors Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Vincent Paul<\/td>\n\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Aegis Capital Corp<\/td>\n<\/tr>\n
\u00a0 Jennifer Rainwater<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Theodore Gerald Rothman<\/td>\n\u00a0 First Allied Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Rothman Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Craig Clifford Ruschmeyer<\/td>\n\u00a0 Feltl & Company<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors LLC<\/td>\n<\/tr>\n
\u00a0 David Aaron Seigerman<\/td>\n\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 David Garrett Shaw<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Private Advisor Group LLC<\/td>\n<\/tr>\n
\u00a0 Ladd W. Tanner<\/td>\n\u00a0 Trustmont Financial Group Inc.<\/td>\n<\/tr>\n
\u00a0 Tanner Financial Services LLC<\/td>\n<\/tr>\n
\u00a0 Dang Hung To<\/td>\n\u00a0 Wells Fargo Advisors LLC<\/td>\n<\/tr>\n
\u00a0 William Upchurch Jr.<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Vetere<\/td>\n\u00a0 Hornor, Townsend & Kent, Inc.<\/td>\n<\/tr>\n
\u00a0 Penn Mutual Life Ins Co<\/td>\n<\/tr>\n
\u00a0 Kuana Nicole Vick<\/td>\n\u00a0 First Citizens Investor Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Larry Phillip Vogel<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Ausdal Financial Partners Inc.<\/td>\n<\/tr>\n
\u00a0 William Christopher Wade<\/td>\n\u00a0 Prudential Investment Management Services LLC<\/td>\n<\/tr>\n
\u00a0 USAA Financial Advisors 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 January 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 Debbie Sue Arnold \u00a0 Farmers Financial Solutions […]<\/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-2610","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 23, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — January 23, 2017\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Registered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 23, 2017\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for January 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — January 23, 2017\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Registered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 23, 2017","description":"According to FINRA Disciplinary actions for January 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — January 23, 2017","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/","twitter_card":"summary_large_image","twitter_title":"Registered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 23, 2017","twitter_description":"According to FINRA Disciplinary actions for January 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — January 23, 2017","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Registered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules","datePublished":"2017-01-23T05:00:00+00:00","dateModified":"2018-10-08T16:37:31+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/"},"wordCount":389,"articleSection":["FINRA Disciplinary Actions"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/","url":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/","name":"Registered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 23, 2017","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2017-01-23T05:00:00+00:00","dateModified":"2018-10-08T16:37:31+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for January 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — January 23, 2017","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-january-2017-failing-comply-finra-rules\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Registered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2610","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=2610"}],"version-history":[{"count":2,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2610\/revisions"}],"predecessor-version":[{"id":6824,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2610\/revisions\/6824"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=2610"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=2610"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=2610"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}