{"id":5723,"date":"2018-01-10T19:40:38","date_gmt":"2018-01-11T00:40:38","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5723"},"modified":"2018-09-07T09:56:19","modified_gmt":"2018-09-07T13:56:19","slug":"finra-suspends-registered-individuals-violations-finra-rules-december-2017","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-december-2017\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Florjan Beqo<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Benjamin Philip Brown<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Joseph Calascione<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Sonya D. Camarco<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Linsco\/Private Ledger Corp<\/td>\n<\/tr>\n
\u00a0 Benjamin Asa Duty<\/td>\n\u00a0 State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Oscar R. Galdamez<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Michael D. Graham<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Steven Harris<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 MSI Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Kimberlyann Huegel<\/td>\n\u00a0 Vanguard Marketing Corporation<\/td>\n<\/tr>\n
\u00a0 The Vanguard Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Randall William Hunt<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Stifel, Nicolaus & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Alana Marie Lewis<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Garrett Dalton Martin<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Peter Andrew O\u2019Hara<\/td>\n\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Hong Kun Pan<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Jay Anthony Pandy-Tatum<\/td>\n\u00a0 Charles Schwab & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Youngsoo Park<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Gary Dennis Ruiz<\/td>\n\u00a0 Citigroup Global Markets, Inc.<\/td>\n<\/tr>\n
\u00a0 Capital One Investing, LLC<\/td>\n<\/tr>\n
\u00a0 Simon Boowon Song<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Dawn Louise Stephens<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Lynn Shuster Strain<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Melanie Sherry Sweet<\/td>\n\u00a0 Hamershlag Sulzberger Borg Capital Markets, Inc.<\/td>\n<\/tr>\n
\u00a0 Southlake Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Joseph Francis Valdini<\/td>\n\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Dawei Wang<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner &Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Scottrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Russell L. Woodley<\/td>\n\u00a0 Citizens Securities, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\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 December 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 Florjan Beqo \u00a0 J.P. Morgan Securities LLC […]<\/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-5723","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017 — Securities Arbitration Lawyers Blog — January 10, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA — January 10, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-december-2017\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017 — Securities Arbitration Lawyers Blog — January 10, 2018\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for December 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA — January 10, 2018\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017 — Securities Arbitration Lawyers Blog — January 10, 2018","description":"According to FINRA Disciplinary actions for December 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA — January 10, 2018","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-december-2017\/","twitter_card":"summary_large_image","twitter_title":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017 — Securities Arbitration Lawyers Blog — January 10, 2018","twitter_description":"According to FINRA Disciplinary actions for December 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA — January 10, 2018","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-december-2017\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-december-2017\/","name":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017 — Securities Arbitration Lawyers Blog — January 10, 2018","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2018-01-11T00:40:38+00:00","dateModified":"2018-09-07T13:56:19+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for December 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA — January 10, 2018","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-december-2017\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-december-2017\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-violations-finra-rules-december-2017\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5723","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=5723"}],"version-history":[{"count":11,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5723\/revisions"}],"predecessor-version":[{"id":6611,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5723\/revisions\/6611"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=5723"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=5723"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=5723"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}