{"id":2747,"date":"2016-07-06T00:00:00","date_gmt":"2016-07-06T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/may-2016-finra-suspends-registered-individuals-violations-finra-rules\/"},"modified":"2018-10-08T12:39:16","modified_gmt":"2018-10-08T16:39:16","slug":"may-2016-finra-suspends-registered-individuals-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/may-2016-finra-suspends-registered-individuals-violations-finra-rules\/","title":{"rendered":"In May 2016 FINRA Suspends Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for May 2016, the following individuals were suspended from FINRA<\/a> for failing to comply with a FINRA arbitration award or settlement agreement 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Dmitry Borochin<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Randy Lee Bostick<\/td>\n\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Jinesh Pravin Brahmbhatt<\/td>\n\u00a0 Success Trade Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Thomas Andrew Buckley<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Chan<\/td>\n\u00a0 Western International Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 US Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Rodney Clyde Cochran<\/td>\n\u00a0 Mutual of Omaha Investors Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Kenneth Alan Comstock<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Investments, LLC<\/td>\n<\/tr>\n
\u00a0 Jaime Xavier Coronado<\/td>\n\u00a0 Nelsonreid, Inc.<\/td>\n<\/tr>\n
\u00a0 Wamu Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Brandon Matthew Cortez<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Canela Nicole Greenwood<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Dennis Hampton<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Osi Trevor Isaacs<\/td>\n\u00a0 Brookstone Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Reid & Rudiger LLC<\/td>\n<\/tr>\n
\u00a0 Karen Suzanne Kane<\/td>\n\u00a0 Money Concepts Capital Corp<\/td>\n<\/tr>\n
\u00a0 OneAmerica Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Aric Ellis Kent<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Investments, LLC<\/td>\n<\/tr>\n
\u00a0 Michael Van Lynch<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Direct Capital Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Rhonda Janeen Matthews<\/td>\n\u00a0 Prospera Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors Financial Network, LLC<\/td>\n<\/tr>\n
\u00a0 Geoffrey Weber Murvin<\/td>\n\u00a0 Voya Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Thomas Wayne Ottman<\/td>\n\u00a0 Advanced Advisor Group, LLC<\/td>\n<\/tr>\n
\u00a0 Benjamin F. Edwards & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Markel Dashiell Petty<\/td>\n\u00a0 Direct Capital Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Arra Poghossian<\/td>\n\u00a0 Scottrade, Inc.<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Travis Sherwood Shannon<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Gregory Alan Townes<\/td>\n\u00a0 Foresters Equity Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Questar Capital Corporation<\/td>\n<\/tr>\n
\u00a0 Kristin A. Tuchman<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/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<\/a>. 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 May 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS \u00a0 Dmitry Borochin \u00a0 Wells Fargo Advisors, LLC \u00a0 Chase Investment Services Corp. \u00a0 Randy Lee Bostick \u00a0 Janney Montgomery Scott […]<\/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-2747","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nIn May 2016 FINRA Suspends Registered Individuals for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — July 6, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2016, the following individuals were suspended 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