{"id":2656,"date":"2016-12-12T00:00:00","date_gmt":"2016-12-12T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-individuals-november-2016-violations-finra-rules\/"},"modified":"2018-10-08T12:37:38","modified_gmt":"2018-10-08T16:37:38","slug":"finra-bars-individuals-november-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-individuals-november-2016-violations-finra-rules\/","title":{"rendered":"FINRA Bars Individuals in November 2016 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for Nov 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\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Juan C. Alejos<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Charles Morgan Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Fontaine Boutwell<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Hornor, Townsend & Kent, Inc.<\/td>\n<\/tr>\n
\u00a0 Matthew Michael Cocco<\/td>\n\u00a0 Metlife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Perry De Leeuw<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Assan Faal<\/td>\n\u00a0 Stifel, Nicolaus & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Sterne, Agee & Leach, Inc.<\/td>\n<\/tr>\n
\u00a0 Judan Mae Flanagan<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Dean Scott Friedman<\/td>\n\u00a0 Syndicated Capital, Inc.<\/td>\n<\/tr>\n
\u00a0 Wedbush Morgan Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Bryon Timothy Glime<\/td>\n\u00a0 Capital Investment Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Behnam Halali<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 MML Investors Services LLC<\/td>\n<\/tr>\n
\u00a0 Garland Sean James<\/td>\n\u00a0 Garden State Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Kalid Morgan Jones<\/td>\n\u00a0 Joseph Gunnnar & Co. LLC<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Vicken Kassouny<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Edward Hyunsoo Kim<\/td>\n\u00a0 Weild & Co.<\/td>\n<\/tr>\n
\u00a0 Prudential Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Justin Anthony Krutsinger<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Tucker Robert Kunkel<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Kola Lulgjuraj<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Rhonda Janeen Mattews<\/td>\n\u00a0 Prospera Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors Financial Network LLC<\/td>\n<\/tr>\n
\u00a0 Jared Howard Morgan<\/td>\n\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Shaun Thomas Nagle<\/td>\n\u00a0 Comprehensive Asset Management and Servicing, Inc.<\/td>\n<\/tr>\n
\u00a0 Linsco\/Private Ledger Corp.<\/td>\n<\/tr>\n
\u00a0 John Howard Pemberton<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Barbara E. Rein<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Barbara B. Rustici<\/td>\n\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Melba Reyes Talbot<\/td>\n\u00a0 Lifemark Securities Corp.<\/td>\n<\/tr>\n
\u00a0 Independent Financial Partments<\/td>\n<\/tr>\n
\u00a0 Jonathan Andrew Trotman<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Daniel Benjamin Vasquez Sr.<\/td>\n\u00a0 Cetera Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Investors Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Martinnette Jeske Witrick<\/td>\n\u00a0 Kota Global Securities Inc.<\/td>\n<\/tr>\n
\u00a0 XP Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Hannan Zafar<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Lance Jeffrey Ziesemer<\/td>\n\u00a0 Feltl & Company<\/td>\n<\/tr>\n
\u00a0 Wachovia Securities, 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>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for Nov 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 Juan C. Alejos \u00a0 Spartan Capital Securities, […]<\/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-2656","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Individuals in November 2016 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — December 12, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for Nov 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — December 12, 2016\" \/>\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\/finra-bars-individuals-november-2016-violations-finra-rules\/\" 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