{"id":2865,"date":"2015-12-11T00:00:00","date_gmt":"2015-12-11T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/registered-individuals-barred-by-finra-for-violations-of-finra-rules\/"},"modified":"2018-10-08T12:38:40","modified_gmt":"2018-10-08T16:38:40","slug":"registered-individuals-barred-by-finra-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-by-finra-for-violations-of-finra-rules\/","title":{"rendered":"Registered Individuals Barred by FINRA for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for October 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

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

\n

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

\u00a0 Bennett Scott Broad<\/td>\n\u00a0 Oppenheimer & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 UBS PaineWebber Inc.<\/td>\n<\/tr>\n
\u00a0 Antonio Costanzo<\/td>\n\u00a0 Titus Rockefeller, LLC<\/td>\n<\/tr>\n
\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Steven Craig Duprey<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Niaz Elmazi aka Nick Morrisey<\/td>\n\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 HFP Capital Markets LLC<\/td>\n<\/tr>\n
\u00a0 John A. Gervasi<\/td>\n\u00a0 Brookville Capital Partners<\/td>\n<\/tr>\n
\u00a0 Paige Strother Hays<\/td>\n\u00a0 J.P. Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Michael Ross Highfill<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley & Co Inc<\/td>\n<\/tr>\n
\u00a0 Jose Manuel Irizarry<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Santander Securities<\/td>\n<\/tr>\n
\u00a0 Keith Joseph Kobziewicz<\/td>\n\u00a0 MidAmerica Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Kovack Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Mas Laborete<\/td>\n\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Jack White & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Scott Lyndon Martin<\/td>\n\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Brecek & Young Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Silvia Navarro Vallesillo<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Marcus Antonio Ortega<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Rachael N. Register<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Matthew J. Semetulskis<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Anthony Sumner<\/td>\n\u00a0 SCF Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Puplava Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Melonie P. Thomas<\/td>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud 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 October 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 Bennett Scott Broad \u00a0 Oppenheimer & Co. […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,580],"tags":[260],"class_list":["post-2865","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-stockbroker-misconduct","tag-barred-by-finra"],"yoast_head":"\nRegistered Individuals Barred by FINRA for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — December 11, 2015<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2015, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — December 11, 2015\" \/>\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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