{"id":3592,"date":"2014-12-30T00:00:00","date_gmt":"2014-12-30T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/"},"modified":"2018-01-05T18:17:33","modified_gmt":"2018-01-05T23:17:33","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-4","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules – 4"},"content":{"rendered":"

According to FINRA Disciplinary actions for November, 2014, 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\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Emily Maureen Allred<\/td>\nJP Morgan Securities LLC<\/td>\n<\/tr>\n
Chase Investment Services Corp.<\/td>\n<\/tr>\n
Edwin Alvarez<\/td>\nCCO Investment Services Corp.<\/td>\n<\/tr>\n
MML Investors Services, LLC<\/td>\n<\/tr>\n
Corina Oikam Chan<\/td>\nMetlife Securities Inc.<\/td>\n<\/tr>\n
Jenna Lynn Connett<\/td>\nMorgan Stanley<\/td>\n<\/tr>\n
Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
Karl Robert Dierman<\/td>\nMML Investors Services, LLC<\/td>\n<\/tr>\n
Royal Alliance Associates, Inc.<\/td>\n<\/tr>\n
Luis Espinoza<\/td>\n<\/td>\n<\/tr>\n
David Jay Homan<\/td>\nWells Fargo Advisors, LLC<\/td>\n<\/tr>\n
UBS Financial Services Inc.<\/td>\n<\/tr>\n
Charles Damien Johnson<\/td>\nLaidlaw & Company (UK) Ltd<\/td>\n<\/tr>\n
Global Arena Capital Corp<\/td>\n<\/tr>\n
Jonathan Ellsworth LaBarre<\/td>\nFifth Third Securities, Inc.<\/td>\n<\/tr>\n
Key Investment Services LLC<\/td>\n<\/tr>\n
David Alexander Lange<\/td>\nLincoln Financial Securities Corp<\/td>\n<\/tr>\n
Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n
Edward Beale McLean IV<\/td>\nFirst Heartland Capital, Inc.<\/td>\n<\/tr>\n
New England Securities<\/td>\n<\/tr>\n
Lori Ann Monte<\/td>\nMerrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
Morgan Stanley DW Inc.<\/td>\n<\/tr>\n
Ashley Platt<\/td>\n<\/td>\n<\/tr>\n
Kamil Z. Rak<\/td>\nCountry Capital Management Company<\/td>\n<\/tr>\n
German Francisco Rivero-Zerpa<\/td>\nGrenel & Co, LLC<\/td>\n<\/tr>\n
Avila Capital Markets, Inc.<\/td>\n<\/tr>\n
Jeffery Alan Schumaker<\/td>\nTransamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
Pruco Securities Corporation<\/td>\n<\/tr>\n
Edward Robert Sitton<\/td>\nMorgan Stanley<\/td>\n<\/tr>\n
Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
Frederick Paul Skoda<\/td>\nCountry Capital Management Company<\/td>\n<\/tr>\n
Kathy Jo Springer-Hesman<\/td>\nRobert W. Baird & Co. Inc.<\/td>\n<\/tr>\n
Stifel, Nicolaus & Company, Inc.<\/td>\n<\/tr>\n
Tony Edward Tucker, Jr.<\/td>\nEDI Financial, Inc.<\/td>\n<\/tr>\n
Franklin Financial Services Corp.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group represents investors in securities and investment fraud 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.\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 November, 2014, 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 Emily Maureen Allred JP Morgan Securities LLC Chase […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[609],"tags":[],"class_list":["post-3592","post","type-post","status-publish","format-standard","hentry","category-sales-practice-violations"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules - 4 — Securities Arbitration Lawyers Blog — December 30, 2014<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November, 2014, the following individuals were suspended from FINRA and cannot currently work for a FINRA — December 30, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Registered Individuals for Violations of FINRA Rules - 4 — Securities Arbitration Lawyers Blog — December 30, 2014\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for November, 2014, the following individuals were suspended from FINRA and cannot currently work for a FINRA — December 30, 2014\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Suspends Registered Individuals for Violations of FINRA Rules - 4 — Securities Arbitration Lawyers Blog — December 30, 2014","description":"According to FINRA Disciplinary actions for November, 2014, the following individuals were suspended from FINRA and cannot currently work for a FINRA — December 30, 2014","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/","twitter_card":"summary_large_image","twitter_title":"FINRA Suspends Registered Individuals for Violations of FINRA Rules - 4 — Securities Arbitration Lawyers Blog — December 30, 2014","twitter_description":"According to FINRA Disciplinary actions for November, 2014, the following individuals were suspended from FINRA and cannot currently work for a FINRA — December 30, 2014","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/","name":"FINRA Suspends Registered Individuals for Violations of FINRA Rules - 4 — Securities Arbitration Lawyers Blog — December 30, 2014","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2014-12-30T05:00:00+00:00","dateModified":"2018-01-05T23:17:33+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for November, 2014, the following individuals were suspended from FINRA and cannot currently work for a FINRA — December 30, 2014","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-4\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Suspends Registered Individuals for Violations of FINRA Rules – 4"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/3592","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=3592"}],"version-history":[{"count":2,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/3592\/revisions"}],"predecessor-version":[{"id":5670,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/3592\/revisions\/5670"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=3592"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=3592"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=3592"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}