{"id":2746,"date":"2016-07-29T00:00:00","date_gmt":"2016-07-29T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/june-2016-finra-bars-registered-individuals-failure-comply-finra-rules\/"},"modified":"2018-10-08T12:37:58","modified_gmt":"2018-10-08T16:37:58","slug":"june-2016-finra-bars-registered-individuals-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/june-2016-finra-bars-registered-individuals-failure-comply-finra-rules\/","title":{"rendered":"In June 2016, FINRA Bars Registered Individuals for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for June 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Vladimir Belyaev<\/td>\n\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 Coastal Equities, Inc.<\/td>\n<\/tr>\n
\u00a0 Ho Choong Chung<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Key Investment Services LLC<\/td>\n<\/tr>\n
\u00a0 Anthony S. Curcio<\/td>\n\u00a0 J.P. Morgan Clearing Corp.<\/td>\n<\/tr>\n
\u00a0 George Jay Dobbins<\/td>\n\u00a0 Edward D. Jones & Co., L.P.<\/td>\n<\/tr>\n
\u00a0 Royal Alliance Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 William Lee Hutchinson<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Daniel Seunghun Lee<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Janice Jean Ling<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Charles Little<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Charles Holman Phelps<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Michael Taylor Shuttlesworth<\/td>\n\u00a0 Crown Capital Securities, L.P.<\/td>\n<\/tr>\n
\u00a0 LPL Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Mark Francis Speakman<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Christopher George Taylor<\/td>\n\u00a0 Purshe Kaplan Sterling Investments<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Sheena Anne Toney<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/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 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 Vladimir Belyaev \u00a0 Avenir Financial Group \u00a0 […]<\/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-2746","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nIn June 2016, FINRA Bars Registered Individuals for Failure to Comply with 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 barred from FINRA 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