{"id":2677,"date":"2016-11-04T00:00:00","date_gmt":"2016-11-04T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-registered-individuals-october-2016-violations-finra-rules\/"},"modified":"2018-10-08T12:37:42","modified_gmt":"2018-10-08T16:37:42","slug":"finra-bars-registered-individuals-october-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-october-2016-violations-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in October 2016 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for Oct 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\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Kamran Azim<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Mohamed Baksh<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 David F. Bouchard<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Alina Brindusescu<\/td>\n\u00a0 US Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 HSBC Securities (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 James Lee Carpenter<\/td>\n\u00a0 Sagepoint Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Next Financial Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Donna Chen<\/td>\n\u00a0 Sunbelt Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Marcus Joseph Debaise<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Prudential Securities Inc<\/td>\n<\/tr>\n
\u00a0 Robert Philip DePalo<\/td>\n\u00a0 McBarron Capital LLC<\/td>\n<\/tr>\n
\u00a0 Arjent Ltd.<\/td>\n<\/tr>\n
\u00a0 Phillip David Donnan<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Kristen Mae Fitzhugh<\/td>\n\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Yitzhok Alexander Fox<\/td>\n\u00a0 Ditto Trade, Inc.<\/td>\n<\/tr>\n
\u00a0 A.B Watley Direct, Inc.<\/td>\n<\/tr>\n
\u00a0 Yosef Yehuda Fox<\/td>\n\u00a0 Ditto Trade, Inc.<\/td>\n<\/tr>\n
\u00a0 Web Street Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Russell Lee Goldstein<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Israel Guzman<\/td>\n\u00a0 Unionbanc Investments Services, LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Bingyi Hu<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 VFinance Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Philip Joseph Johnson<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 David Richard Kerr III<\/td>\n\u00a0 A&F Financial Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Kenneth Joseph Kolquist<\/td>\n\u00a0 Cetera Advisor Networks LLC<\/td>\n<\/tr>\n
\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Kestina Mantar<\/td>\n\u00a0 Goldman Sachs & Co.<\/td>\n<\/tr>\n
\u00a0 Pedro Juan Marrero Astacio IV<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Valon Mehmeti<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Mercedes Molina<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Robert Isaac Newell<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Christopher A. Parris<\/td>\n\u00a0 The Lucian Group<\/td>\n<\/tr>\n
\u00a0 Nationwide Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Barbara Joann Peters<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Mikhail M. Rasner<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Rennie M.\u00a0 Roach<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Warren Marc Rockmacher<\/td>\n\u00a0 Investacorp, Inc.<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Lance R. Shaw<\/td>\n\u00a0 International Assets Advisory, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Michael Ronald Smith<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 James Tao<\/td>\n\u00a0 Sunbelt Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Larry Steven Werbel<\/td>\n\u00a0 Concorde Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Summit Brokerage Services, 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><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for Oct 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 Kamran Azim \u00a0 The Huntington Investment Company […]<\/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-2677","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in October 2016 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — November 4, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for Oct 2016, the following individuals were barred from 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