{"id":2729,"date":"2016-08-09T00:00:00","date_gmt":"2016-08-09T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-july-2016-violations-finra-rules\/"},"modified":"2018-10-08T12:37:52","modified_gmt":"2018-10-08T16:37:52","slug":"finra-suspends-registered-individuals-july-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-july-2016-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in July 2016 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for July 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 David F. Bouchard<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Alina Brindusescu<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 HSBC Securities (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 Francisco Javier Camacho<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Michael Cervino<\/td>\n\u00a0 Primary Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Cor Clearing LLC<\/td>\n<\/tr>\n
\u00a0 David Glenn Gott<\/td>\n\u00a0 Ausdal Financial Partners, Inc.<\/td>\n<\/tr>\n
\u00a0 Berthel, Fisher & Company Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Israel Guzman<\/td>\n\u00a0 UnionBanc Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 John Vernon Heath<\/td>\n\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 QA3 Financial Corp.<\/td>\n<\/tr>\n
\u00a0 Steven Shane Horton<\/td>\n\u00a0 TD Ameritrade Clearing, Inc.<\/td>\n<\/tr>\n
\u00a0 Holly Hurley<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Phillip Joseph Johnson<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Christos Angelo Kalatoudis<\/td>\n\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/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 Donald Lyons<\/td>\n\u00a0 Nativeone Institutional Trading, LLC<\/td>\n<\/tr>\n
\u00a0 Samuel Sylvanus McNinch IV<\/td>\n\u00a0 Kestra Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Triad Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Krista Viola Milligan<\/td>\n\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Mercedes Molina<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Kevin Michael Murphy<\/td>\n\u00a0 BMO Harris Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/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 Andrew Scott Oliveri<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 David Thomas Owen III<\/td>\n\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Questar Capital Corporation<\/td>\n<\/tr>\n
\u00a0 Kimberly Joyce Padgett<\/td>\n\u00a0 GWN Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Lincoln Investment<\/td>\n<\/tr>\n
\u00a0 Alfonso Papa<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 HFP Capital Markets LLC<\/td>\n<\/tr>\n
\u00a0 Paul M. Pemberton<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Claudia Patricia Phillips-Thompson<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Paris Marquis Rembert<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Dennis Kevin Smith<\/td>\n\u00a0 NativeOne Institutional Trading, LLC<\/td>\n<\/tr>\n
\u00a0 Raymond C. Forbes & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Barbara Jean Waters<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets 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 July 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 David F. Bouchard   \u00a0 Alina Brindusescu […]<\/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-2729","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in July 2016 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — August 9, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage — August 9, 2016\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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