{"id":2744,"date":"2016-07-29T00:00:00","date_gmt":"2016-07-29T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-june-2016-violations-finra-rules\/"},"modified":"2018-10-08T12:37:55","modified_gmt":"2018-10-08T16:37:55","slug":"finra-suspends-registered-individuals-june-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-june-2016-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in June 2016 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for June 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Aaron Carter Armstrong<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kora L. Crowder<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Wensi Guzman<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Demitrios Hallas<\/td>\n\u00a0 PHX Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Forefront Capital Markets LLC<\/td>\n<\/tr>\n
\u00a0 James Harrington<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Don Richard Iley<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Johnathan J. Joyce<\/td>\n\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Elias Nicholas Katsis<\/td>\n\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Tryco Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jaoshiang Luo<\/td>\n\u00a0 Columbus Advisory Group, Ltd.<\/td>\n<\/tr>\n
\u00a0 Clark Dodge & Co, Inc.<\/td>\n<\/tr>\n
\u00a0 Rafael Santiago<\/td>\n\u00a0 Primary Capital, LLC<\/td>\n<\/tr>\n
\u00a0 COR Clearing LLC<\/td>\n<\/tr>\n
\u00a0 Jennifer A. Smith<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Jonathon William Sullivan<\/td>\n\u00a0 U.S. Bancorp Investments, 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
\u00a0 Michael David Woodard<\/td>\n\u00a0 Andrews Partners<\/td>\n<\/tr>\n
\u00a0 1792 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><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for June 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 Aaron Carter Armstrong \u00a0 NYLife 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":[578],"tags":[],"class_list":["post-2744","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nFINRA Suspends Registered Individuals in June 2016 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — July 29, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2016, the following individuals were suspended from FINRA 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