{"id":2834,"date":"2016-01-27T00:00:00","date_gmt":"2016-01-27T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-in-january-2016\/"},"modified":"2018-10-30T14:26:10","modified_gmt":"2018-10-30T18:26:10","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-in-january-2016","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-in-january-2016\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in January 2016"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for January 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:<\/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\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><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/td>\n<\/tr>\n

\u00a0 Raymond Aleksey<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Matthew C. Ashton<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/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 Azim, Kamran<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Tiffany Dawn Bee<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Keith Joseph Bettex<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 F.N. Wolf & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Bruce Scott Birke<\/td>\n\u00a0 Accelerated Capital Group<\/td>\n<\/tr>\n
\u00a0 Crown Capital Securities, L.P.<\/td>\n<\/tr>\n
\u00a0 Toby Blackwood<\/td>\n\u00a0 PFS Investments Inc.<\/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 Robert Blake Ellender<\/td>\n\u00a0 Invesco Distributors, Inc.<\/td>\n<\/tr>\n
\u00a0 John Hancock Funds, LLC<\/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 Aaron Alexander Fauntleroy<\/td>\n\u00a0 ICMA-RC Services, LLC<\/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<\/td>\n<\/tr>\n
\u00a0 Alain J. Florestan<\/td>\n\u00a0 Caldwell International Securities<\/td>\n<\/tr>\n
\u00a0 Brookstone Securities, 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 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 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 LLC<\/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 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 Samuel Ryan McClain<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/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 Chakkin Tony Mok<\/td>\n\u00a0 Cetera Financial Specialists LLC<\/td>\n<\/tr>\n
\u00a0 Hochman & Baker Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Elizabeth Ann Monge<\/td>\n\u00a0 Lincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
\u00a0 Valic Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Samuel Sean Nelson<\/td>\n\u00a0 Waddell & Reed<\/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 Darlene Byrd Page<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UVest Financial Services Group, 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 Christopher A. Parris<\/td>\n\u00a0 Nationwide Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 NYLife Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Benjamin John Pritchett<\/td>\n\u00a0 Wells Fargo Adviosrs, 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 Carmie Lynn Shifflett<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Citicorp Investment Services<\/td>\n<\/tr>\n
\u00a0 William Victor Siegel<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 John Larry Simpson<\/td>\n\u00a0 Princor Financial Services Corporation<\/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 Renate Barbel Sterrett<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Investacorp, Inc.<\/td>\n<\/tr>\n
\u00a0 Abel Gaim Taklai<\/td>\n\u00a0 Key Investment Services LLC<\/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 Leonard Toth<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Jean Ann Walsh-Josephson<\/td>\n\u00a0 Thrivent Investment Management Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Arnold Weber<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Equico Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Teule S. Williams<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/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<\/a> cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct<\/a>. 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 January 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 Raymond Aleksey \u00a0 Wells Fargo Advisors, LLC […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[385],"class_list":["post-2834","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct","tag-suspended-by-finra"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules in January 2016 — Securities Arbitration Lawyers Blog — January 27, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2016, the 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