{"id":5141,"date":"2017-11-30T10:12:50","date_gmt":"2017-11-30T15:12:50","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5141"},"modified":"2018-10-08T12:40:05","modified_gmt":"2018-10-08T16:40:05","slug":"finra-bars-registered-individuals-september-2017-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-september-2017-failure-comply-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in September 2017 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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\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 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 Devin Barkley<\/td>\n\u00a0 MetLife Investors Distribution Company<\/td>\n<\/tr>\n
\u00a0 MetLife Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Wilbert Norman Belizaire, Jr.<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Charles A. Black<\/td>\n\u00a0 Lincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
\u00a0 The Lincoln National Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Steven Eugene Bonner<\/td>\n\u00a0 Principal Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Allied Financial Network Insurance Services, LLC<\/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 Juliana Castaneda<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Andrey Chekalin<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Eagle Strategies LLC<\/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 Thomas Eric Constable<\/td>\n\u00a0 ADP Broker-Dealer, Inc.<\/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 Jeffrey Edward Ermi<\/td>\n\u00a0 Wells Fargo Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Banc of America Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Lee Edward Farmer<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 AG Edwards & Sons, Inc.<\/td>\n<\/tr>\n
\u00a0 Arsola Feransou<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Joshua Adam Frederico<\/td>\n <\/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 Christopher Lowell Jackson<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Jamar Darcel Jenkins<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Molly M. Jury<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Sean David Kaplan<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Comprehensive Asset Management and Servicing, 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 Robert Kenneth Lindell<\/td>\n\u00a0 Richfield Orion International, Inc.<\/td>\n<\/tr>\n
\u00a0 Revere Securities Corp.<\/td>\n<\/tr>\n
\u00a0 Cameron Blake Lovitt<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Nicholas Henry Millas<\/td>\n <\/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 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<\/td>\n\u00a0 Corecap Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 L.M. Kohn & Company<\/td>\n<\/tr>\n
\u00a0 Donald John Saccamano<\/td>\n\u00a0 Source Capital Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Janney Montgomery Scott LLC<\/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 Michael Allen Sparks<\/td>\n\u00a0 J.J.B. Hilliard, W.L .Lyons, LLC<\/td>\n<\/tr>\n
\u00a0 DMG Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jennifer Anne Spencer<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 TIAA-CREF Individual & Institutional Services, LLC<\/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 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

 <\/p>\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 September 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 Kellye C. Allison \u00a0 State Farm VP […]<\/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-5141","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in September 2017 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 September 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA — November 30, 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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