{"id":5149,"date":"2017-12-01T09:19:28","date_gmt":"2017-12-01T14:19:28","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5149"},"modified":"2018-10-08T12:40:11","modified_gmt":"2018-10-08T16:40:11","slug":"finra-suspends-registered-individuals-october-2017-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-october-2017-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in October 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Kayla Jo Brassesco<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Aalim Jamaal Brown<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Laura Ann Cava<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Jessica Marie Franze<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Robert William Griffin<\/td>\n\u00a0 Cantella & Co Inc.<\/td>\n<\/tr>\n
\u00a0 Cornerstone Investment Services<\/td>\n<\/tr>\n
\u00a0 Stephen Allen Holmes<\/td>\n\u00a0 Voya Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Khalil, Adham Shafik<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Kipp, Stephen Joseph<\/td>\n\u00a0\u00a0 NPB Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 National Planning Corporation<\/td>\n<\/tr>\n
\u00a0 Craig Gary Langweiler<\/td>\n\u00a0 Windsor Street Capital, LP<\/td>\n<\/tr>\n
\u00a0 Meyers Associates LP<\/td>\n<\/tr>\n
\u00a0 Caeron Arlington McClintock<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Christine Doreen Memet<\/td>\n\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Lawrence Lee Olivas Jr.<\/td>\n\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Monica Jean O\u2019Neill<\/td>\n\u00a0 Mutual of Omaha Investor Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Thrivent Investment Management Inc.<\/td>\n<\/tr>\n
\u00a0 Vanessa Beth-Anne Reeves-Farry<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Casey Thomas Rodriguez<\/td>\n\u00a0 Arive Capital Markets<\/td>\n<\/tr>\n
\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Jessica Rene Sewell<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Clint Herrison Stoffels<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Anaida Tashchyan<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Harvey Alan Weisenfeld<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wood Financial Insurance Group Inc.<\/td>\n<\/tr>\n
\u00a0 David Arthur Wismer III<\/td>\n\u00a0 LPL Financial LLC<\/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 October 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 Kayla Jo Brassesco \u00a0 Aalim Jamaal Brown […]<\/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-5149","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in October 2017 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — December 1, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2017, the following individuals were 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