{"id":2855,"date":"2015-12-23T00:00:00","date_gmt":"2015-12-23T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/in-december-2015-finra-bars-individuals-for-failure-to-comply-with-finra-rules\/"},"modified":"2018-10-08T12:38:32","modified_gmt":"2018-10-08T16:38:32","slug":"in-december-2015-finra-bars-individuals-for-failure-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-december-2015-finra-bars-individuals-for-failure-to-comply-with-finra-rules\/","title":{"rendered":"In December 2015, FINRA Bars Individuals for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for December 2015, 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:<\/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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 David Michael Burke<\/td>\n\u00a0 Shearson Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Sunbelt Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Joseph Cassano<\/td>\n\u00a0 Metlife Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Eduardo Jhonattan Chacon Melgarejo<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Johnnie L. Christopher, Jr.<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Ina E. Collazo<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Stephen Anthony Dalla Torre<\/td>\n\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Wachovia Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Andrea Lynn Fayette<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Ricardo Francois<\/td>\n\u00a0 Caldwell International Securities<\/td>\n<\/tr>\n
\u00a0 PHD Capital<\/td>\n<\/tr>\n
\u00a0 Sean Thomas Lopez<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Albert Manzo<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Andrew Marzec<\/td>\n\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Richard Allen McGuire<\/td>\n\u00a0 Newport Coast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Financial West Group<\/td>\n<\/tr>\n
\u00a0 Frederick Eugene Monroe, Jr.<\/td>\n\u00a0 Voya Financial advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 ING Financial Partners<\/td>\n<\/tr>\n
\u00a0 Paul Anthony Posillico<\/td>\n\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Obsidian Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Jessica Claire Sampel<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Grace W. Smith<\/td>\n\u00a0 TIAA-CREF Individual & Institutional Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 James Coleman Starks<\/td>\n\u00a0 Caldwell International Securities<\/td>\n<\/tr>\n
\u00a0 PHD Capital<\/td>\n<\/tr>\n
\u00a0 Alfred Talens, Jr.<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 New England Securities<\/td>\n<\/tr>\n
\u00a0 Victor Tarkang<\/td>\n\n

\u00a0 Metlife Securities, Inc.<\/p>\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><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for December 2015, 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 David Michael Burke \u00a0 Shearson Financial Services, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2855","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nIn December 2015, FINRA Bars Individuals for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — December 23, 2015<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2015, the following individuals were barred from 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