{"id":5146,"date":"2017-11-30T10:18:42","date_gmt":"2017-11-30T15:18:42","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5146"},"modified":"2021-03-12T15:09:17","modified_gmt":"2021-03-12T20:09:17","slug":"finra-suspends-registered-individuals-september-2017-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-september-2017-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in September 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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 Christina Albert<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Woodley Hannon Bagwell<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Helle Romer Bannister<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 HighTower Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Sonya Michelle Brown<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jason Harry Buchanan<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Daniel P. Capeless<\/td>\n\u00a0 FBR Capital Markets & Co.<\/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 Wesley Claflin<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Brett Allen DeFore<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Theophilus K. Denanyoh<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Daniel Paul Doogs<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Daniel A. Dupont<\/td>\n\u00a0 Santander Securities LLC<\/td>\n<\/tr>\n
\u00a0 Mutual of Omaha Investor Services, Inc.<\/td>\n<\/tr>\n
\u00a0 John Charles Epting, Jr.<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 World Group Securities, Inc.<\/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 Edward Kenneth Frost<\/td>\n\u00a0 Western International Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 GBS Financial Corp.<\/td>\n<\/tr>\n
\u00a0 Mariam Gabashvili<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Charles Edwin Garrison<\/td>\n\u00a0 Davenport & Company LLC<\/td>\n<\/tr>\n
\u00a0 First Union Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Albert Sidney Gersh<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley DW Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Constantine Gray<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Robert Norman Greco<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Leanna Greene<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 John Kaleihiehie Kai<\/td>\n\u00a0 First Allied Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Commonwealth Financial Network<\/td>\n<\/tr>\n
\u00a0 Chea Anetta Ledbetter<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Matthew M. McDonagh<\/td>\n\u00a0 Osprey Partners LLC<\/td>\n<\/tr>\n
\u00a0 Cabot Lodge Securities LLC<\/td>\n<\/tr>\n
\u00a0 Terry Mark Mlodzik<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
<\/td>\n<\/td>\n<\/tr>\n
<\/td>\n<\/tr>\n
\u00a0 Michael Ryan Mueller<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Sampson Pearson, Jr.<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Robert W. Baird & Co. Inc<\/td>\n<\/tr>\n
\u00a0 Craig Allan Price<\/td>\n\u00a0 Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Craig A. Price LLC<\/td>\n<\/tr>\n
\u00a0 Frank Blaise Anthony Restifo, Jr.<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Carlos Antonio Rodriguez<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Matthew Carl Shepard<\/td>\n\u00a0 Securian Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Carty & Company, Inc.<\/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 David Edward Smith<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Jon William Stagnone<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Maria Nancy Tamburro<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 John Anthony Vedovino<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 HFP Capital Markets LLC<\/td>\n<\/tr>\n
\u00a0 Matthew D. Webster<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Cadaret, Grant & Co., 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 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 Christina Albert \u00a0 Woodley Hannon Bagwell \u00a0 […]<\/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-5146","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in September 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 September 2017, the following 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