{"id":5137,"date":"2017-11-30T10:05:22","date_gmt":"2017-11-30T15:05:22","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5137"},"modified":"2023-03-09T16:01:44","modified_gmt":"2023-03-09T21:01:44","slug":"finra-suspends-registered-individuals-august-2017-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-august-2017-failing-comply-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in August 2017 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement 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\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Clifford Eugene Alexander III<\/td>\n\u00a0 Summit Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Cantella & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Steven Preston Alexander<\/td>\n\u00a0 Citizens Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 CUNA Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Jason Edward Anderson<\/td>\n\u00a0 Wilbanks Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Impact Financial Consulting, LLC<\/td>\n<\/tr>\n
<\/td>\n<\/td>\n<\/tr>\n
<\/td>\n<\/tr>\n
\u00a0 Lawrence Allen Banks<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 EKN Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Chad Ryan Barancyk<\/td>\n\u00a0 SII Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 First Allied Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jimmie Dean Canole<\/td>\n\u00a0 LaSalle St. Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Brewer Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Jeremiah Jens Charlson<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
<\/td>\n<\/td>\n<\/tr>\n
<\/td>\n<\/tr>\n
\u00a0 Matthew DiGregorio<\/td>\n\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 J.D. Nicholas & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Philip Orezio Fatta<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Blackook Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Thomas M. Fayad<\/td>\n\u00a0 Oppenheimer & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Jeanne Michelle Fisher<\/td>\n\u00a0 Summit Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Cantella & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Gregory Flemming Jr.<\/td>\n\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Robert Furciato, Jr.<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Dennis Hampton<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Jeffrey Scott Ickes<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Omar Tyrone Jeanty<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Primary Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Erik Robert Kneip<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Stratos Wealth Partners<\/td>\n<\/tr>\n
\u00a0 Jerome Scott Krause<\/td>\n\u00a0 First Heartland Capital, Inc.<\/td>\n<\/tr>\n
\u00a0 Thrivent Investment Management Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Scott Lavolpe<\/td>\n\u00a0 Meyers Associates, L.P.<\/td>\n<\/tr>\n
\u00a0 David William Locy<\/td>\n\u00a0 Brookstone Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Archer Alexander Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Elvin J. Lopez<\/td>\n\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Mary Helen Caprice Mallett<\/td>\n\u00a0 Independent Financial Group<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Devon Coulin McLean<\/td>\n\u00a0 Questar Capital Corporation<\/td>\n<\/tr>\n
\u00a0 USAllianz Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 James William Mewborn<\/td>\n\u00a0 Principal Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Clifford Paul Murray, M.D.<\/td>\n\u00a0 Newport Coast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Empire Asset Management Company<\/td>\n<\/tr>\n
\u00a0 Gary Walter Oliphant<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Advisor Services, inc.<\/td>\n<\/tr>\n
\u00a0 Clifford Alan Schwartz<\/td>\n\u00a0 Westpark Capital, Inc.<\/td>\n<\/tr>\n
\u00a0 The GMs Group , LLC<\/td>\n<\/tr>\n
\u00a0 Michael James Terry<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Antony Lee Turbeville<\/td>\n\u00a0 Brookstone Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Archer Alexander Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Douglas Stuart Veitch, Sr.<\/td>\n\u00a0 Wilbanks Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Woodbury Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Everett Scoville Walker, Jr.<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Patrick Justin White, Sr.<\/td>\n\u00a0 Laidlaw & Company (UK) Ltd.<\/td>\n<\/tr>\n
\u00a0 BlackBook Capital LLC<\/td>\n<\/tr>\n
\u00a0 John Frederick Wolle<\/td>\n\u00a0 Sinclair & Company, LLC<\/td>\n<\/tr>\n
\u00a0 54 Freedom Securities 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 August 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS \u00a0 Clifford Eugene Alexander III \u00a0 Summit Brokerage Services, Inc. \u00a0 Cantella & Co., Inc. \u00a0 Steven Preston Alexander \u00a0 Citizens […]<\/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-5137","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in August 2017 for Failing 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 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