{"id":2802,"date":"2016-02-29T00:00:00","date_gmt":"2016-02-29T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-february-2016-violations-finra-rules\/"},"modified":"2018-10-08T12:38:19","modified_gmt":"2018-10-08T16:38:19","slug":"finra-suspends-registered-individuals-february-2016-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-february-2016-violations-finra-rules\/","title":{"rendered":"FINRA Suspends 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 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 Steven Angelo Aguilar<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Thomas Edward Andrews<\/td>\n\u00a0 LPL Financial, 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 Jeffrey Alan Bond<\/td>\n\u00a0 David Lerner Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Ricardo Athelstone Broome<\/td>\n\u00a0 Woodstock Financial Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Meyers Associates LP<\/td>\n<\/tr>\n
\u00a0 Thomas Buono<\/td>\n\u00a0 Park Avenue Securities, LLC<\/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 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 Li-Lin Hsu<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Transglobal Advisory, LLC<\/td>\n<\/tr>\n
\u00a0 Roy Edward Jones<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Castle Oak Securities<\/td>\n<\/tr>\n
\u00a0 Sean Francis Lanci<\/td>\n\u00a0 J. Streicher Capital, LLC<\/td>\n<\/tr>\n
\u00a0 John Thomas Financial<\/td>\n<\/tr>\n
\u00a0 Tiffany Kim Le<\/td>\n\u00a0 Logic Wealth Management<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities, LLC<\/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 April Christine Morris-Spicer<\/td>\n\u00a0 Wunderlich Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Lincoln Investment<\/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 Samatha 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 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<\/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.<\/p><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for February 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 Steven Angelo Aguilar \u00a0 J.P. Morgan Securities, […]<\/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-2802","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends 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 suspended 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\" 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