{"id":5133,"date":"2017-11-29T16:53:10","date_gmt":"2017-11-29T21:53:10","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5133"},"modified":"2018-10-08T12:40:22","modified_gmt":"2018-10-08T16:40:22","slug":"finra-suspends-registered-individuals-violations-finra-rules-july-2017","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-july-2017\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in July 2017"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 2017, 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\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 Kellye C. Allison<\/td>\n\u00a0 State Farm VP\u00a0 Management Corp.<\/td>\n<\/tr>\n
\u00a0 Timothy David Ballard<\/td>\n\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 National Planning Corporation<\/td>\n<\/tr>\n
\u00a0 Damani A. Barham<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Kelley Macon Barham, Jr.<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Charles A. Black<\/td>\n\u00a0 Lincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
\u00a0 Jason Harry Buchanan<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Alexi Nahun Bustamante<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Donald William Chupp<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Salvatore Joseph Cipriano<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Laidlaw & Company (UK) Ltd.<\/td>\n<\/tr>\n
\u00a0 Darnell Anthony Deans<\/td>\n\u00a0 Blackbook Capital, LLC<\/td>\n<\/tr>\n
\u00a0 John Carris Investments LLC<\/td>\n<\/tr>\n
\u00a0 Lee Edward Farmer<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 A.G. Edwards & Sons, Inc.<\/td>\n<\/tr>\n
\u00a0 Joshua Adam Frederico<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Kristopher A. Galicia Rodriguez<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kevin Grewal<\/td>\n\u00a0 Keystone Capital Corporation<\/td>\n<\/tr>\n
\u00a0 Fawad Hasan<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Derrick Franklin Howard<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 James Thomas Jurewicz<\/td>\n\u00a0 T3 Trading Group, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Molly M. Jury<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith inc.<\/td>\n<\/tr>\n
\u00a0 Ronald Frances Konchalski<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Douglas Anthony Leone<\/td>\n\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Newport Coast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Kenneth Lindell<\/td>\n\u00a0 Richfield Orion International, Inc.<\/td>\n<\/tr>\n
\u00a0 Revere Securities Corp.<\/td>\n<\/tr>\n
\u00a0 Christian A. Paul<\/td>\n\u00a0 Worth Financial Group Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Craig Allan Price<\/td>\n\u00a0 Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Gregory David Pryce<\/td>\n\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 TFS Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Ernest Julius Romer III<\/p>\n

 <\/td>\n

\u00a0 Corecap Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Windsor Sheffield<\/td>\n<\/tr>\n
\u00a0 Paul Edward Seaward<\/td>\n\u00a0 Foresters Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 First Investors Corporation<\/td>\n<\/tr>\n
\u00a0 Mark Eliot Silverman<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 Jason Soricelli<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Brian Eugene Sturges<\/td>\n\u00a0 P.J. Robb Variable Corporation<\/td>\n<\/tr>\n
\u00a0 Financial Telesis Inc.<\/td>\n<\/tr>\n
\u00a0 Jordan Robert Tait<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Bethany Chanel Thompson<\/td>\n\u00a0 Foresters Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher John Tiernan<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Juan Ramon Uriarte Jr.<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Rosa Alicia Vazquez<\/td>\n\u00a0 Integrity Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 White Pacific Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Hung Quoc Vu<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Julie Ann Wells<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Becky Woo<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 HSBC Securities (USA) Inc.<\/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 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 \u00a0 Kellye C. Allison \u00a0 State Farm VP\u00a0 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-5133","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules in July 2017 — 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 suspended from FINRA and cannot currently work for a FINRA brokerage — November 29, 2017\" \/>\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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