{"id":2778,"date":"2016-03-30T00:00:00","date_gmt":"2016-03-30T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-registered-individuals-march-2016-failure-comply-finra-rules\/"},"modified":"2018-10-08T12:38:09","modified_gmt":"2018-10-08T16:38:09","slug":"finra-bars-registered-individuals-march-2016-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-march-2016-failure-comply-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for March 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\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 Raymond Francis Aleksey<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc.<\/td>\n<\/tr>\n
\u00a0 Tiffany Dawn Bee<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Toby Blackwood<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Angela K. Blaylock<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Benjamin Jon Brown<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 American Express Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Thomas Anthony Cammarano<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Associated Securities Corp.<\/td>\n<\/tr>\n
\u00a0 Brian Andrew Dunn<\/td>\n\u00a0 Robert W. Baird & Co. Inc<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets, Inc.<\/td>\n<\/tr>\n
\u00a0 Susan Ann Ericson<\/td>\n\u00a0 UBS Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Jose L. Espinoza<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Craig Steven Ferraro<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Michael W. Finn<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc<\/td>\n<\/tr>\n
\u00a0 Robert Joseph Gray<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Kyle Brockman Greene<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Larry Phillip Harvey, Jr.<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Christopher Hermiz<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Andy Edgar Hernandez<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Steve Everett Hinrichs<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Richard Allen Isgrig<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Robert W. Baird & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Brian Grayson Kidder<\/td>\n\u00a0 High Point Capital Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Delaney Equity Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Matthew Lawrence Lalonde<\/td>\n\u00a0 Buckman, Buckman & Reid, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Kathleen Mary Loney<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Mutual Service Corporation<\/td>\n<\/tr>\n
\u00a0 James Joseph McCarron III<\/td>\n\u00a0 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 QA3 Financial Corp.<\/td>\n<\/tr>\n
\u00a0 Brett James McCollough<\/td>\n\u00a0 Hancock Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Multi-Financial Securities Corp<\/td>\n<\/tr>\n
\u00a0 Marco A. Mendoza<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Vincent Joseph Menello, Jr.<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Jason Scott Miller<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Darlene Byrd Page<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UVest Financial Services Group, Ic.<\/td>\n<\/tr>\n
\u00a0 Christopher A. Parris<\/td>\n\u00a0 Nationwide Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 The Lucian Group<\/td>\n<\/tr>\n
\u00a0 Benjamin John Pritchett<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Investors Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Francis Anthony Jason Punsalan<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Ebony C. Ranson<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Toni Leynett Robertson<\/td>\n\u00a0 Caprock Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Investment Professionals, Inc.<\/td>\n<\/tr>\n
\u00a0 Marguerite A. Sanders<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 John Larry Simpson<\/td>\n\u00a0 Princor Financial Services Corp<\/td>\n<\/tr>\n
\u00a0 Avalon Investment & Securities Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Jay Snider<\/td>\n\u00a0 Thrivent Investment Management Inc.<\/td>\n<\/tr>\n
\u00a0 Leonard Toth<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Francis Vincent<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Jean Ann Walsh-Josephson<\/td>\n\u00a0 Thrivent Investment Mangement Inc.<\/td>\n<\/tr>\n
\u00a0 Robin Michelle Wolfgram<\/td>\n\u00a0 Cetera Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Foothill Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jamie Reid Zimmerman<\/td>\n <\/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 March 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 Raymond Francis Aleksey \u00a0 Wells Fargo Advisors, […]<\/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-2778","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — March 30, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — March 30, 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-bars-registered-individuals-march-2016-failure-comply-finra-rules\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — March 30, 2016\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for March 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — March 30, 2016\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — March 30, 2016","description":"According to FINRA Disciplinary actions for March 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — March 30, 2016","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-march-2016-failure-comply-finra-rules\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — March 30, 2016","twitter_description":"According to FINRA Disciplinary actions for March 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — March 30, 2016","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-march-2016-failure-comply-finra-rules\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-march-2016-failure-comply-finra-rules\/","name":"FINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — March 30, 2016","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2016-03-30T04:00:00+00:00","dateModified":"2018-10-08T16:38:09+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for March 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — March 30, 2016","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-march-2016-failure-comply-finra-rules\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-march-2016-failure-comply-finra-rules\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-march-2016-failure-comply-finra-rules\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2778","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=2778"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2778\/revisions"}],"predecessor-version":[{"id":6900,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2778\/revisions\/6900"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=2778"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=2778"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=2778"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}