{"id":5129,"date":"2017-11-29T16:47:00","date_gmt":"2017-11-29T21:47:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5129"},"modified":"2018-10-25T13:04:36","modified_gmt":"2018-10-25T17:04:36","slug":"finra-bars-registered-individuals-july-2017-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-july-2017-failure-comply-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in July 2017 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 2017, 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\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
\u00a0 Ricardo Alonzo, Jr.<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jared Cody Artho<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael W. Benjamin<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 David William Beutler<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Prudential Securities Inc<\/td>\n<\/tr>\n
\u00a0 Amanda Yvetter Burnett<\/td>\n\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Joni Carrera<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Charles Maxwell Cox<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Aryton Pierce Haddad<\/td>\n\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 E*Trade Securities LLC<\/td>\n<\/tr>\n
\u00a0 Scott William Hartman<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Encore Financial Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Chad Daniel Hornaday<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 National Planning Corporation<\/td>\n<\/tr>\n
\u00a0 John James Joseph Labrie<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Derek James Longmuir<\/td>\n\u00a0 Advisors Asset Management, Inc.<\/td>\n<\/tr>\n
\u00a0 First Trust Portfolios LP<\/td>\n<\/tr>\n
\u00a0 Elijah Robert Maldonado<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 David K. Mallet<\/td>\n\u00a0 Wunderlich Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Stephens Inc.<\/td>\n<\/tr>\n
\u00a0 Raymond Edward Martin<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Richard Muzquiz Jr.<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Andrew Michael Pritchard<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Michael Jason Ripper<\/td>\n\u00a0 International Assets Advisory, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Teresita Santos Santos<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Bimal Kishore Shah<\/td>\n\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 WRP Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Cory Ward Taylor<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Nathan Robert Trodahl<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Xin Wang<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Daniel L. Waters<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Sherman Marcel White<\/td>\n\u00a0 Wayne Hummer Investments LLC<\/td>\n<\/tr>\n
\u00a0 US Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Brian Scot Winchester<\/td>\n\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Sunset Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Matthew Edward Witkowski<\/td>\n\u00a0 Vanguard Marketing Corporation<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 William Brian Wyman<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Royal Alliance Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 James Seokhoon Yoon<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases through FINRA arbitration or court.\u00a0 Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration 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>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for July 2017, 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 Ricardo Alonzo, Jr. \u00a0 Jared Cody Artho […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577],"tags":[],"class_list":["post-5129","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in July 2017 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 29, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2017, the following individuals were barred from 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