{"id":2658,"date":"2016-12-12T00:00:00","date_gmt":"2016-12-12T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-november-2016-violations-finra-rules\/"},"modified":"2020-11-20T08:43:14","modified_gmt":"2020-11-20T13:43:14","slug":"finra-suspends-registered-individuals-november-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-november-2016-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in November 2016 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for November 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\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 Shawn Aaron Bedford<\/td>\n\u00a0 Edward Jones<\/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
<\/td>\n<\/td>\n<\/tr>\n
<\/td>\n<\/tr>\n
\u00a0 Samuel David Campos<\/td>\n\u00a0 J.P. 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 Munaem Choudhury<\/td>\n\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Brookstone Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Shannon Kathleen Daniels<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Commerce Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Johnathan Roth Ellis<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Daniel Erlichman<\/td>\n\u00a0 KGS-Alpha Capital Markets, L.P.<\/td>\n<\/tr>\n
\u00a0 BNP Paribas Securities Corp.<\/td>\n<\/tr>\n
\u00a0 Michael Joseph Farinella<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Michael P. Gopie<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Ricky Reid Harris, Jr.<\/td>\n\u00a0 J.P. 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 Hornor, 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 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Sekou Mansur McClendon<\/td>\n\u00a0 Equinox Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Cape Securities Inc.<\/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 Patrick Lee Perales<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Herndon Plant Oakley, Ltd.<\/td>\n<\/tr>\n
\u00a0 Bryan Dnaiel Quigley<\/td>\n\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 New England Securities<\/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\u00a0 Jennifer Rainwater<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Kimberly Charisse Rice<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/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 Jon Brett Schmidhammer<\/td>\n\u00a0 Stifel, Nicolaus & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner &Smith Inc<\/td>\n<\/tr>\n
\u00a0 David Garrett Shaw<\/td>\n\u00a0 Private Advisor Group, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/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 Ladd W .Tanner<\/td>\n\u00a0 Trustmont Financial Group, INc.<\/td>\n<\/tr>\n
\u00a0 Gunnallen Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Dang Hung To<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Quyen Trong Tran<\/td>\n\u00a0 UnionBanc Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Michael Vetere<\/td>\n\u00a0 Hornor, Townsend & Kent, Inc.<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/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<\/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 November 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 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-2658","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered 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 November 2016, the following 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