{"id":2801,"date":"2016-02-29T00:00:00","date_gmt":"2016-02-29T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-registered-individuals-february-2016-violations-finra-rules\/"},"modified":"2018-10-08T12:38:18","modified_gmt":"2018-10-08T16:38:18","slug":"finra-bars-registered-individuals-february-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-february-2016-violations-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in February 2016 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for February 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Joe L. Buckner<\/td>\n\u00a0 Brazos Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Maplewood Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Adam Douglas Carrol<\/td>\n\u00a0 The Leaders Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Metlife Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Dennis Fitzgerald Davis<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Stevaun I. Davis<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Theodore Garrity<\/td>\n\u00a0 Feltl & Company<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley & Co, Inc.<\/td>\n<\/tr>\n
\u00a0 Tony Sand Jung<\/td>\n\u00a0 MML Distributors, LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Andreas Stavros Kentrotas<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets, Inc.<\/td>\n<\/tr>\n
\u00a0 Jay Max Mabry<\/td>\n\u00a0 Park Avenue Securities<\/td>\n<\/tr>\n
\u00a0 Regal Investment Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Joseph Anthony Mele<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Eugene Theodore Smietana<\/td>\n\u00a0 LPL Financial, LLC<\/td>\n<\/tr>\n
\u00a0 Prudential Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 John Howard Towers<\/td>\n\u00a0 VSR Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Personal Wealth Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Jacqueline Lee Vadala<\/td>\n\u00a0 Craig Scott Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Kenneth Robert Wooden<\/td>\n\u00a0 Edward Jones<\/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 February 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 Joe L. Buckner \u00a0 Brazos Securities, Inc. […]<\/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-2801","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in February 2016 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — February 29, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA — February 29, 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-february-2016-violations-finra-rules\/\" \/>\n<meta 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