{"id":5135,"date":"2017-11-30T10:02:49","date_gmt":"2017-11-30T15:02:49","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5135"},"modified":"2018-10-08T12:40:00","modified_gmt":"2018-10-08T16:40:00","slug":"august-2017-finra-barred-registered-individuals-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/august-2017-finra-barred-registered-individuals-failure-comply-finra-rules\/","title":{"rendered":"In August 2017, FINRA Barred Registered Individuals for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Dimitris Alifragis<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Alonza Barnett, Jr.<\/td>\n\u00a0 Ameritas Investment Corp.<\/td>\n<\/tr>\n
\u00a0 Dachtler Wealth Management<\/td>\n<\/tr>\n
\u00a0 Amalia Bocanegra<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Christopher Canale<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Nenita Blas Causing<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Wilson Chung<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kenneth Paul Collins, Jr.<\/td>\n\u00a0 Union Capital Company<\/td>\n<\/tr>\n
\u00a0 Money Concepts Capital Corp<\/td>\n<\/tr>\n
\u00a0 Laura Johnson Craven<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Sebastian Joshua Dimond<\/td>\n\u00a0 Vanguard Marketing Corporation<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Investments, LLC<\/td>\n<\/tr>\n
\u00a0 Edwin Waite Duguie, Jr.<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Megan Eilers<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 First Clearing, LLC<\/td>\n<\/tr>\n
\u00a0 Felicia Anne Figueroa<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Nicholas C. Gallo<\/td>\n\u00a0 Cova Capital Partners LLC<\/td>\n<\/tr>\n
\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 David Monroe Hawkes<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Richard Michael Jones<\/td>\n\u00a0\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Israel Jurkevicz<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Tika Justice<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Jeffrey Timothy Kluge<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 John Bradford Leonard<\/td>\n\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Wachovia Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Jonathan Ryan Levano<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Russell McNamee<\/td>\n\u00a0 Dakota Securities International, Inc,<\/td>\n<\/tr>\n
\u00a0 Sterling Financial Investment Group , Inc.<\/td>\n<\/tr>\n
\u00a0 Rachel Marie Millyard<\/td>\n\u00a0 Infinex Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Essex National Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Shayne Arlington Nelson<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 David Ng<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Darian Curtis Norris<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Patrick John O\u2019Brien<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Vivien Li Ching Ong<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Olateju Samson Oyeniyi<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Robert A. Perconte<\/td>\n\u00a0 Summit Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Daniel Prudencio<\/td>\n\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Raymond Jesus Rodriguez<\/td>\n <\/td>\n<\/tr>\n
\u00a0 William Edward Roe<\/td>\n\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 Crowell, Weedon & Co.<\/td>\n<\/tr>\n
\u00a0 Nicholas Adel Somo<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael Allen Sparks<\/td>\n\u00a0 J.J.B. Hillard, W.L. Lyons, LLC<\/td>\n<\/tr>\n
\u00a0 DMG Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Alec Michael Tracy<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 MMC Securities Crop.<\/td>\n<\/tr>\n
\u00a0 Justin Martin West<\/td>\n\u00a0 J.P. 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 August 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 Dimitris Alifragis   \u00a0 Alonza Barnett, Jr. […]<\/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-5135","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn August 2017, FINRA Barred Registered Individuals for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 30, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for August 2017, the following individuals 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