{"id":2749,"date":"2016-07-01T00:00:00","date_gmt":"2016-07-01T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-violations-finra-rules-may-2016\/"},"modified":"2018-10-08T12:38:02","modified_gmt":"2018-10-08T16:38:02","slug":"finra-suspends-registered-individuals-violations-finra-rules-may-2016","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-may-2016\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in May 2016"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for May 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\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Gordon W. Adamson<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Stephen R. Anders<\/td>\n\u00a0 Capital One Investing, LLC<\/td>\n<\/tr>\n
\u00a0 BB&T Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Alex Ernesto Batlle<\/td>\n\u00a0 Forest Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Princor Financial Services Corporation<\/td>\n<\/tr>\n
\u00a0 James Frederick Brennan<\/td>\n\u00a0 T.R. Winston & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Gilford Securities Incorporated<\/td>\n<\/tr>\n
\u00a0 Christopher David Campbell<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 Ruben Emilio Cardenas<\/td>\n\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 BBVA Compass Investment Solutions, Inc.<\/td>\n<\/tr>\n
\u00a0 Jessica Alyssa Diaz<\/td>\n\u00a0 Nationwide Investment Services Corporation<\/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 Ronald Fred Hanson<\/td>\n\u00a0 Valmark Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Daniel Helkowski III<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Nationwide Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Li-Lin Hsu<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Jose Alberto Huerta<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Adrian Jablonski<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 First Midwest Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Sean Francis Lanci<\/td>\n\u00a0 Rothschild Lieberman LLC<\/td>\n<\/tr>\n
\u00a0 J. Streicher Capital LLC<\/td>\n<\/tr>\n
\u00a0 Quyen Chi Loong<\/td>\n\u00a0 Aaron Capital Inc<\/td>\n<\/tr>\n
\u00a0 Metlife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Elizabeth Grimaneza Looper<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Calvin Edward Moores<\/td>\n\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Centaurus Financial Inc.<\/td>\n<\/tr>\n
\u00a0 Justin L. Norris<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Rafael Angel Ortiz<\/td>\n\u00a0 Cetera Investment Services LLC<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Natalia Pesin<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Linda A. Rapp<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Virgil Queano Santos Jr.<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 John M. Sayre<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Brian Edward Shamash<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Keith Everett Sorrentino<\/td>\n\u00a0 Stock USA Execution Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Regal Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael John Tordone<\/td>\n\u00a0 TSC Distributors, LLC<\/td>\n<\/tr>\n
\u00a0 Lazard Asset Management Securities LLC<\/td>\n<\/tr>\n
\u00a0 David Scott Whitesel<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 David Lee Willis<\/td>\n\u00a0 Allstate Financial services, LLC<\/td>\n<\/tr>\n
\u00a0 Prudential Securities Incorporated<\/td>\n<\/tr>\n
\u00a0 Eugene Harold Wray<\/td>\n\u00a0 PFS Investments 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 May 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 Gordon W. Adamson \u00a0 Farmers Financial Solutions, […]<\/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-2749","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules in May 2016 — Securities Arbitration Lawyers Blog — July 1, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage — July 1, 2016\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-may-2016\/\" 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