{"id":5155,"date":"2017-12-01T09:26:44","date_gmt":"2017-12-01T14:26:44","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5155"},"modified":"2020-12-07T14:42:21","modified_gmt":"2020-12-07T19:42:21","slug":"finra-bars-registered-individuals-filing-comply-finra-rules-november-2017","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-filing-comply-finra-rules-november-2017\/","title":{"rendered":"FINRA Bars Registered Individuals for Filing to Comply with FINRA Rules in November 2017"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for November 2017, the following individuals were barred from FINRA<\/a> 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Christina Albert<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Chad Michael Anderson<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/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 Damani A. Barham<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, Inc.<\/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 Sonya Michelle Brown<\/td>\n<\/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 Financial Services Inc.<\/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 Mariam Gabashvili<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/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 Norman Greco<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Bettye Clements Hays<\/td>\n\u00a0 Principal Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Princor Financial Services Corporation<\/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 David Russell Kondracke<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Advest, Inc.<\/td>\n<\/tr>\n
\u00a0 Danielle Lamb<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Chea Anetta Ledbetter<\/td>\n<\/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
<\/td>\n<\/td>\n<\/tr>\n
<\/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 Douglas A. Rabess<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Frank Blaise Anthony Restifo, Jr.<\/td>\n\u00a0 The Huntington Investment Company<\/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 Matthew Carl Shepard<\/td>\n\u00a0 Securian Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wealthspan Financial Group<\/td>\n<\/tr>\n
\u00a0 Elizabeth Eunyoung Skillman<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Maria Nancy Tamburro<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Bethany Chanel Thompson<\/td>\n\u00a0 Foresters Financial Services, Inc.<\/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 November 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 Christina Albert \u00a0 Chad Michael Anderson \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-5155","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals for Filing to Comply with FINRA Rules in November 2017 — Securities Arbitration Lawyers Blog — December 1, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2017, the following 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