{"id":2779,"date":"2016-03-30T00:00:00","date_gmt":"2016-03-30T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-violations-finra-rules-march-2016\/"},"modified":"2018-10-08T12:38:11","modified_gmt":"2018-10-08T16:38:11","slug":"finra-suspends-registered-individuals-violations-finra-rules-march-2016","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-march-2016\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in March 2016"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for March 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Randy Lamar Alford<\/td>\n\u00a0 Southeast Investments, N.C. Inc.<\/td>\n<\/tr>\n
\u00a0 Saxony Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Kamran Azim<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Kenneth Martin Dlouhy<\/td>\n\u00a0 Catone Research Inc.<\/td>\n<\/tr>\n
\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Wensi Guzman<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Winston Hefner<\/td>\n\u00a0 FBL Marketing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Equitrust Marketing Serv LLC<\/td>\n<\/tr>\n
\u00a0 Kristal Lee Johnson<\/td>\n\u00a0 Fifth Third Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Elizabeth Ann Monge<\/td>\n\u00a0 Lincoln Financial Advisors Corp.<\/td>\n<\/tr>\n
\u00a0 Valic Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Kayla Arlene Paul-Lindsey<\/td>\n\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Carmie Lynn Shifflett<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Citicorp Investment Services<\/td>\n<\/tr>\n
\u00a0 Renate Barbel Sterrett<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Investacorp, Inc.<\/td>\n<\/tr>\n
\u00a0 Vladimir Tingue<\/td>\n\u00a0 Scottrade, Inc.<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Valinda Kay Turner<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Kenya Julissa Zavala<\/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 March 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 Randy Lamar Alford \u00a0 Southeast Investments, N.C. […]<\/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-2779","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules in March 2016 — 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 suspended from FINRA and cannot currently work for a FINRA — 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-suspends-registered-individuals-violations-finra-rules-march-2016\/\" \/>\n<meta name=\"twitter:card\" 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