{"id":2649,"date":"2016-12-28T00:00:00","date_gmt":"2016-12-28T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-registered-individuals-december-2016-violations-finra-rules\/"},"modified":"2018-10-08T12:37:36","modified_gmt":"2018-10-08T16:37:36","slug":"finra-bars-registered-individuals-december-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-december-2016-violations-finra-rules\/","title":{"rendered":"FINRA Bars 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 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Maricela Alvarez<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Rushton Leigh Ardrey III<\/td>\n\u00a0 Newport Coast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 White, Weld & Co. Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Terry Stephen Carraher<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Scott Thomas Cross<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher Jeffrey Daniel<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Nancy Elaine De Leeuw<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Paul Edward Dorion<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Nathan & Lewis Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 John Ezmat<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Noel Fleming<\/td>\n\u00a0 Revere Securities LLC<\/td>\n<\/tr>\n
\u00a0 Jesup & Lamont Securities Corp<\/td>\n<\/tr>\n
\u00a0 Salvatore Gioe<\/td>\n\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 Stephen Duncan Grant<\/td>\n\u00a0 Security Research Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Legend Merchant Group , Inc.<\/td>\n<\/tr>\n
\u00a0 James Walter Ignatowich<\/td>\n\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Investors Capital Corp<\/td>\n<\/tr>\n
\u00a0 EvaJean Marie Jackson<\/td>\n\u00a0 Equinox Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Dana Liesl McMillin<\/td>\n\u00a0 Jackson National Life Distributors LLC<\/td>\n<\/tr>\n
\u00a0 Myrna Margarita Perez<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Robin Thomas Pledger<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Robinson Rodriguez<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael Alan Siegel<\/p>\n

 <\/td>\n

\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Concorde Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Stewart Field Smith<\/td>\n\u00a0 Center Street Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Questar Capital Corporation<\/td>\n<\/tr>\n
\u00a0 Donald Shelby Toomer<\/td>\n\u00a0 Wells Fargo Advisors Financial Network, LLC<\/td>\n<\/tr>\n
\u00a0 RBC Dain Rauscher Inc.<\/td>\n<\/tr>\n
\u00a0 Frank Rowlin Underhill Jr.<\/td>\n\u00a0 Underhill Securities Corp.<\/td>\n<\/tr>\n
\u00a0 DRF Business and Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Travis Michael Vandermale<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Cheryl Lynn Wallace<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Cinday Ah Ran Yi<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Julie Marie Ziolkowski<\/td>\n\u00a0 Fidelity Brokerage Services 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 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 Maricela Alvarez \u00a0 JP Morgan Securities LLC […]<\/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-2649","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars 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 following individuals were 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