{"id":3048,"date":"2015-01-20T00:00:00","date_gmt":"2015-01-20T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-registered-individuals-for-violations-of-finra-rules\/"},"modified":"2018-10-08T12:39:40","modified_gmt":"2018-10-08T16:39:40","slug":"finra-bars-registered-individuals-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for December, 2014, 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\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Bryan Wayne Anderson<\/td>\nPruco Securities, LLC<\/td>\n<\/tr>\n
Metlife Securities Inc.<\/td>\n<\/tr>\n
Byron Ray Claflin<\/td>\nPruco Securities, LLC<\/td>\n<\/tr>\n
Courtney Lamant Crusoe<\/td>\n<\/td>\n<\/tr>\n
William Stanley David<\/td>\nEdward Jones<\/td>\n<\/tr>\n
Tauber Lawrence Emmings<\/td>\nCambridge Investment Research, Inc.<\/td>\n<\/tr>\n
Gunnallen Financial, Inc.<\/td>\n<\/tr>\n
Michael Melvin Frazier<\/td>\nPrincor Financial Services Corporation<\/td>\n<\/tr>\n
The Prudential Insurance Company of America<\/td>\n<\/tr>\n
Arsen A. Gaboyan<\/td>\nJP Morgan Securities LLC<\/td>\n<\/tr>\n
Chase Investment Services Corp.<\/td>\n<\/tr>\n
William Joseph Gaspar<\/td>\nHarbour Investments, Inc.<\/td>\n<\/tr>\n
Allied Beacon Partners, Inc.<\/td>\n<\/tr>\n
Theresa Rene Harfoot<\/td>\nFidelity Brokerage Services LLC<\/td>\n<\/tr>\n
Akshay Balakrishna Hegde<\/td>\nNational Securities Corporation<\/td>\n<\/tr>\n
VFinance Investments, Inc.<\/td>\n<\/tr>\n
Erik Lawrence Hockenberry<\/td>\nLPL Financial LLC<\/td>\n<\/tr>\n
Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
Jeffrey Einer Lewis<\/td>\nHD Vest Investment Services<\/td>\n<\/tr>\n
Patricia S. Miller<\/td>\nInvestors Capital Corp.<\/td>\n<\/tr>\n
Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
James Ward Noble<\/td>\nTerminus Securities, LLC<\/td>\n<\/tr>\n
Devlin Wayne Osburn<\/td>\nUnionbanc Investment Services, LLC<\/td>\n<\/tr>\n
LPL Financial LLC<\/td>\n<\/tr>\n
Stephen Eldridge Ridgely II<\/td>\nAmeriprise Financial Services, Inc.<\/td>\n<\/tr>\n
Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
Andrea Sanchez<\/td>\nNSM Securities, Inc.<\/td>\n<\/tr>\n
Max International Broker\/Dealer Corp.<\/td>\n<\/tr>\n
Monica L. Smith<\/td>\n<\/td>\n<\/tr>\n
Hope Renee Thomas<\/td>\nInvest Financial Corporation<\/td>\n<\/tr>\n
1784 Investor Services, Inc.<\/td>\n<\/tr>\n
Julia Luisa Volkman<\/td>\nNorthwestern Mutual Investment Services, LLC<\/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 December, 2014, 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 Bryan Wayne Anderson Pruco Securities, LLC Metlife Securities […]<\/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-3048","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Bars Registered Individuals for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — January 20, 2015<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December, 2014, the following individuals were barred from FINRA 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