{"id":2857,"date":"2015-12-23T00:00:00","date_gmt":"2015-12-23T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-in-december-2015\/"},"modified":"2018-10-08T12:38:34","modified_gmt":"2018-10-08T16:38:34","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-in-december-2015","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-in-december-2015\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2015"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for December 2015, 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

NAME<\/strong><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/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. Incorporated<\/td>\n<\/tr>\n
\u00a0 Andy Edgar Hernandez<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Geneero Tyrone Jackson<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Tony Sang Jung<\/td>\n\u00a0 MML Distributors, LLC<\/td>\n<\/tr>\n
\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Andreas Stavros Kentrotas<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Jay Max Mabry<\/td>\n\u00a0 Park Ave Securities<\/td>\n<\/tr>\n
\u00a0 Regal Investment Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Brett James McCullough<\/td>\n\u00a0 Hancock Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Multi-Financial Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Joseph Anthony Mele<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Mary Pearl Reed<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley DW Inc.<\/td>\n<\/tr>\n
\u00a0 Marguerite A. Sanders<\/td>\n\u00a0 J.P. Morgan Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/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 Jacqueline Lee Vadala<\/td>\n\u00a0 Craig Scott Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Francis Vincent<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services, Inc.<\/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<\/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 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 Adam Douglas Carrol \u00a0 The Leaders Group, […]<\/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-2857","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2015 — 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 suspended 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