{"id":2997,"date":"2015-07-13T00:00:00","date_gmt":"2015-07-13T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-terminates-brokers-licenses-in-june-2015\/"},"modified":"2018-10-08T12:39:00","modified_gmt":"2018-10-08T16:39:00","slug":"finra-terminates-brokers-licenses-in-june-2015","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-terminates-brokers-licenses-in-june-2015\/","title":{"rendered":"FINRA Terminates Brokers\u2019 Licenses in June 2015"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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

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

\n

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

\u00a0 Jason Wade Cox<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Dillon M. Edwards<\/td>\n\u00a0 Princor Financial Services Corporation<\/td>\n<\/tr>\n
\u00a0 Gino Arturo Fortis<\/td>\n\u00a0 H.D. Vest Investment Services<\/td>\n<\/tr>\n
\u00a0 Foresters Equity Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Herbert Andrew Hood Jr.<\/td>\n\u00a0 Valic Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Rodney Bryan Howell<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Melissa Diana Powell<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Tina Lynn Reed<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Wachovia Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Lynn Marie Schmidt<\/td>\n\u00a0 Meritus Financial Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Rise, Inc.<\/td>\n<\/tr>\n
\u00a0 Mark I. Stark<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Five Star Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Peter Yao<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud <\/a>cases.\u00a0 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>.\u00a0 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 June 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 Jason Wade Cox \u00a0 Edward Jones \u00a0 […]<\/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":[],"class_list":["post-2997","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Terminates Brokers\u2019 Licenses in June 2015 — Securities Arbitration Lawyers Blog — July 13, 2015<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2015, the following individuals were barred from FINRA and cannot currently work for a 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