{"id":2612,"date":"2017-01-23T00:00:00","date_gmt":"2017-01-23T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-january-2017-violations-finra-rules\/"},"modified":"2019-09-23T13:12:14","modified_gmt":"2019-09-23T17:12:14","slug":"finra-suspends-registered-individuals-january-2017-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-january-2017-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals In January 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for January 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Kristen Denys Bartley<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Touchstone Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jasper Eugene Boykin Jr.<\/td>\n\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Quest Capital Strategies, Inc.<\/td>\n<\/tr>\n
\u00a0 Kathy Campos<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Louis Vincent Fontanella Jr.<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 David Lerner Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Yohandy Gonzalez<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Michael P. Gopie<\/td>\n\u00a0 AXA Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Bank of America, NA<\/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 Bao Tran Dinh Hoang<\/td>\n\u00a0 JP 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 Kyle Ryan Kurtz<\/td>\n\u00a0 Thrivent Investment Management Inc.<\/td>\n<\/tr>\n
\u00a0 Lutheran Brotherhood Securities Corp.<\/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 Country Insurance and Financial Services<\/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 Wesley Marion Oler IV<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Global Retirement Partners<\/td>\n<\/tr>\n
\u00a0 Raymond John Pirrello Jr.<\/td>\n\u00a0 Garden State Securities Inc.<\/td>\n<\/tr>\n
\u00a0 The Concord Equity Group, LLC<\/td>\n<\/tr>\n
\u00a0 Richard Byron Raff<\/td>\n\u00a0 Infinex Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 M&F Bank\/UVest Financial Services<\/td>\n<\/tr>\n
\u00a0 Gary Harland Sisler Jr.<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services LLC<\/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 Quyen Trong Tran<\/td>\n\u00a0 UnionBanc Investments Services LLC<\/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 January 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 Kristen Denys Bartley \u00a0 Morgan Stanley Smith […]<\/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-2612","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals In January 2017 for Violations of 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 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