{"id":2647,"date":"2016-12-28T00:00:00","date_gmt":"2016-12-28T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-december-2016-violations-finra-rules\/"},"modified":"2018-10-08T12:37:33","modified_gmt":"2018-10-08T16:37:33","slug":"finra-suspends-registered-individuals-december-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-december-2016-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in December 2016 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for December 2016, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Troy Christopher Baldridge<\/td>\n\u00a0 Capitol Securities Management, Inc.<\/td>\n<\/tr>\n
\u00a0 Anderson & Strudwick, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Banjany<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 William Joseph Broccio<\/td>\n\u00a0 Meyers Associates, L.P.<\/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 Laurence H. King<\/td>\n\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Domestic Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jonathan H. Lowell<\/td>\n <\/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 Neil David Pecker<\/td>\n\u00a0 Coastal Equities, Inc.<\/td>\n<\/tr>\n
\u00a0 Westpark Capital, Inc.<\/td>\n<\/tr>\n
\u00a0 Jean Paul Pierre<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Michael Quiles III<\/td>\n\u00a0 LPL Financial LLC<\/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 Patrick Justin White Sr.<\/td>\n\u00a0 Laidlaw & 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 December 2016, 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 Troy Christopher Baldridge \u00a0 Capitol 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-2647","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in December 2016 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — December 28, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2016, the 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