{"id":2773,"date":"2016-04-21T00:00:00","date_gmt":"2016-04-21T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-individuals-april-2016-failure-comply-finra-rules\/"},"modified":"2018-10-30T14:24:36","modified_gmt":"2018-10-30T18:24:36","slug":"finra-bars-individuals-april-2016-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-individuals-april-2016-failure-comply-finra-rules\/","title":{"rendered":"FINRA Bars Individuals in April 2016 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for April 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\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 Thomas Edward Andrews<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Ryan Jerry Attenson<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 John H. Berry<\/td>\n\u00a0 Crown Capital Securities, LP<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Keith Joseph Bettex<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Ricardo Athelstone Broome<\/td>\n\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Woodstock Financial Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Thomas Buono<\/td>\n\u00a0 Park Avenue Securities<\/td>\n<\/tr>\n
\u00a0 Henry Kimtong Chang<\/td>\n\u00a0 Cetera Advisor Networks LLC<\/td>\n<\/tr>\n
\u00a0 Financial Network Investment Corp.<\/td>\n<\/tr>\n
\u00a0 Veronica A. Deese<\/td>\n\u00a0 The Vanguard Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Aaron Alexander Fauntleroy<\/td>\n\u00a0 IMCA Retirement Corporation<\/td>\n<\/tr>\n
\u00a0 Larry Gordon Goldston<\/td>\n\u00a0 Caprock Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley DW Inc.<\/td>\n<\/tr>\n
\u00a0 Rogelio Fernando Guevara<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Gregory Kieth Hines, Jr.<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Warren Scott Koch<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Tiffany K. Le<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Sergio D. Lopez<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 NYLife Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Gary James Lundgren<\/td>\n\u00a0 Interpacific Investors Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Global Finance & Investment Company<\/td>\n<\/tr>\n
\u00a0 Chakkin Tony Mok<\/td>\n\u00a0 Cetera Financial Specialists LLC<\/td>\n<\/tr>\n
\u00a0 Hochman & Baker Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 April Christine Morris-Spicer<\/td>\n\u00a0 Wunderlich Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Lincoln Investment<\/td>\n<\/tr>\n
\u00a0 Samuel Sean Nelson<\/td>\n\u00a0 Waddell & Reed, Inc.<\/td>\n<\/tr>\n
\u00a0 Hai Yan Ni<\/td>\n\u00a0 T. Rowe Price Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 HSBC Securities (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 Bernard Mark Parker<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Beaconsfield Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Sean David Portnoy<\/td>\n\u00a0 Nobles & Richards, Inc.<\/td>\n<\/tr>\n
\u00a0 Sethi Financial Group<\/td>\n<\/tr>\n
\u00a0 Samantha Raeshawn Raines<\/td>\n\u00a0 Fidelity Brokerage Services, LLC<\/td>\n<\/tr>\n
\u00a0 Royal Vance Keith Charles Reynolds III<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 William Victor Siegel<\/td>\n\u00a0 Morgan Stanley & Co, Inc.<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets, Inc.<\/td>\n<\/tr>\n
\u00a0 Abel Gaim Teklai<\/td>\n\u00a0 Key Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Angelos Stephen Tsigounis<\/td>\n\u00a0 Stifel, Nicolaus & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 VFinance Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Makiasa Donyell Turner<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Joseph Arnold Weber<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Teule S. Williams<\/td>\n\u00a0 J.P.\u00a0 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>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for April 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 Thomas Edward Andrews \u00a0 LPL Financial 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-2773","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Individuals in April 2016 for Failure to Comply with FINRA Rules — 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 barred from FINRA 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