{"id":2771,"date":"2016-04-21T00:00:00","date_gmt":"2016-04-21T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-violations-finra-rules-april-2016\/"},"modified":"2018-10-08T12:38:04","modified_gmt":"2018-10-08T16:38:04","slug":"finra-suspends-registered-individuals-violations-finra-rules-april-2016","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-april-2016\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in April 2016"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Jonathan Arroyo<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Matthew C. Ashton<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc.<\/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 Robert Blake Ellender<\/td>\n\u00a0 Invesco Distributors, Inc.<\/td>\n<\/tr>\n
\u00a0 John Hancock Funds, LLC<\/td>\n<\/tr>\n
\u00a0 Tameika Andrea Frinks<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/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 Chad Lewis Jackson<\/td>\n\u00a0 J.P. Morgan Securities, 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 Matthew R. Mizera<\/td>\n\u00a0 Fifth Third Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Lindsey brooke Nelan<\/td>\n <\/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 Tanvir M. Shah<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Michael Taylor Shuttlesworth<\/td>\n\u00a0 Crown Capital Securities, LP<\/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 Thomas Suarez<\/td>\n\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Laidlaw & Co (UK) Ltd.<\/td>\n<\/tr>\n
\u00a0 Christopher George Taylor<\/td>\n\u00a0 Purshe Kaplan Sterling Investments<\/td>\n<\/tr>\n
\u00a0 Hightower Financial Partners<\/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 April 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 Jonathan Arroyo \u00a0 J.P. Morgan 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":[577],"tags":[],"class_list":["post-2771","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules in April 2016 — Securities Arbitration Lawyers Blog — April 21, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA — April 21, 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-april-2016\/\" 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