{"id":5159,"date":"2017-12-01T09:31:54","date_gmt":"2017-12-01T14:31:54","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5159"},"modified":"2018-10-08T12:40:20","modified_gmt":"2018-10-08T16:40:20","slug":"finra-suspends-registered-individuals-november-2017-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-november-2017-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in November 2017 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for November 2017, the following individuals were suspended 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Donald C. Blackwell<\/td>\n\u00a0 Calton & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Samiul Anam Chowdhury<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wayne Earl Cooksey<\/td>\n\u00a0 Lincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
\u00a0 Argenis T. Cortes<\/td>\n\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Vincent Frank D\u2019Accardi<\/td>\n\u00a0 Stifel, Nicolaus & Company, Inc<\/td>\n<\/tr>\n
\u00a0 Matthew Evan Eckstein<\/td>\n\u00a0 Gould, Ambroson & Associates Ltd.<\/td>\n<\/tr>\n
\u00a0 Sisk Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher Anthony Fernan<\/td>\n\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Matthew Douglas Garrett<\/td>\n\u00a0 MML Distributors, LLC<\/td>\n<\/tr>\n
\u00a0 Suhail Saleem Khan<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Kingsview Asset Management, LLC<\/td>\n<\/tr>\n
\u00a0 Rick Douglas Konecny<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Spencer David Laufer<\/td>\n\u00a0 J.H. Darbie & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Kevin Allen Mee<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Cornelius Peterson<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Stanley Calvin Pigue<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 James S. Polese<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Jordan Charles Rodden<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Amus Desmond Stevens<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Jamie Yuvonne Strickland<\/td>\n\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, 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 November 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 Donald C. Blackwell \u00a0 Calton & Associates, […]<\/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-5159","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in November 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 November 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA — December 1, 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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