{"id":5153,"date":"2017-12-01T09:24:17","date_gmt":"2017-12-01T14:24:17","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5153"},"modified":"2018-10-08T12:40:14","modified_gmt":"2018-10-08T16:40:14","slug":"registered-individuals-barred-finra-october-2017-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-finra-october-2017-violations-finra-rules\/","title":{"rendered":"Registered Individuals Barred by FINRA in October 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Nicholas 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 Bank of America, N.A.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/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 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 Kristopher A. Galicia Rodriguez<\/td>\n\u00a0 NYLife Securities 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 Haoson<\/td>\n <\/td>\n<\/tr>\n
\u00a0 David Travis Hicks III<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Issei Kubota<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/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 Susan V. Magann<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Kenneth Paul Mulvaney<\/td>\n\u00a0 MHA Financial Corp<\/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 Florence Santiago<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Jason Soricelli<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Scott Ellis Stacke<\/td>\n\u00a0 William Blair & Company LLC<\/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
\u00a0 Victoria Anne VanDyke<\/td>\n\u00a0 Corinthian Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Matrix U.S.A., LLC<\/td>\n<\/tr>\n
\u00a0 Rosa Alicia Vazquez<\/td>\n\u00a0 Integrity Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 White Pacific Securities, 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 October 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 Nicholas Esteban Arango \u00a0 Joseph Stone Capital […]<\/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-5153","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Barred by FINRA 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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