{"id":5139,"date":"2017-11-30T10:07:59","date_gmt":"2017-11-30T15:07:59","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5139"},"modified":"2018-10-08T12:40:04","modified_gmt":"2018-10-08T16:40:04","slug":"finra-suspends-registered-individuals-august-2017-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-august-2017-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in August 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Chad Michael Anderson<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Nicolas Esteban Arango<\/td>\n\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Leonardo S. Araujo<\/td>\n\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Michael Biggs<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Steven Eugene Bonner<\/td>\n\u00a0 Principal Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Princor Financial Services Corp<\/td>\n<\/tr>\n
\u00a0 Thomas Joseph Borruso<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Shawn Evan Burns<\/td>\n\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Cape Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Brian M. Cain<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Primevest Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Jaime Renato Cerda<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Steven Gary Dash<\/td>\n\u00a0\u00a0 Hallmark Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 GunnAllen Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Diane Lee Dubshinski<\/td>\n\u00a0 Cape Securities Inc.<\/td>\n<\/tr>\n
\u00a0 1st<\/sup> Discount Brokerage, Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher Anthony Fernan<\/td>\n\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Mark Joseph Flanagan<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Yohandy Gonzalez<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Maria Cecilia Yumang Hoason<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Bettye Clements Hays<\/td>\n\u00a0 Principal Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 David Travis Hicks III<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 David Russell Kondracke<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Advest, Inc.<\/td>\n<\/tr>\n
\u00a0 Issei Kubota<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Danielle Lamb<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Shawn Brett Larkin<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Dale Anne Luce<\/td>\n\u00a0 RBC Capital Markets, LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Jacob Richard Luithle<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Susan V. Magann<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Kenneth P. Mulvaney<\/td>\n\u00a0 MHA Financial Corp<\/td>\n<\/tr>\n
\u00a0 Sharon Theresa Noonan<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Prudential Securities Inc<\/td>\n<\/tr>\n
\u00a0 Lawrence Lee Olivas, Jr.<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Marc Harold Pearl<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Gerald Edward Peterson<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Douglas A. Rabess<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Peter Rose<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Florence Santiago<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Matthew Patrick Seemann<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Elizabeth Eunyung Skillman<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Scott Ellis Stacke<\/td>\n\u00a0 William Blair & Company LLC<\/td>\n<\/tr>\n
\u00a0 Jon William Stagnone<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 State Street Research Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Nancy Todd<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Robert C. Tsai<\/td>\n\u00a0 E*Trade Securities LLC<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, 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 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 Chad Michael Anderson \u00a0 Farmers Financial Solutions, […]<\/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-5139","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in August 2017 for Violations of 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 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