{"id":5737,"date":"2018-01-12T11:48:45","date_gmt":"2018-01-12T16:48:45","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5737"},"modified":"2018-01-12T11:48:45","modified_gmt":"2018-01-12T16:48:45","slug":"december-2017-finra-bars-registered-individuals-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/december-2017-finra-bars-registered-individuals-failure-comply-finra-rules\/","title":{"rendered":"In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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 Helle Romer Bannister<\/td>\n\u00a0 HighTower Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities, LLC<\/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\u00a0 Laura Ann Cava<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Wesley Claflin<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Brett Allen DeFore<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Jessica Marie Franze<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Edward Kenneth Frost<\/td>\n\u00a0 Western International Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 GBS Financial Corp.<\/td>\n<\/tr>\n
\u00a0 Charles Edwin Garrison<\/td>\n\u00a0 Davenport & Company LLC<\/td>\n<\/tr>\n
\u00a0 Robert Constantine Gray<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Leanna Greene<\/td>\n\u00a0 State Farm VP Management Corp.<\/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 Stephen Joseph Kipp<\/td>\n\u00a0 NPB Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Kipp Financial Group, Inc.<\/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 Matthew M. McDonagh<\/td>\n\u00a0 Osprey Partners LLC<\/td>\n<\/tr>\n
\u00a0 Cabot Lodge Securities LLC<\/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 Terry Mark Mlodzik<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Monica Jean O\u2019Neill<\/td>\n\u00a0 Mutual of Omaha Investors Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Thrivent Investment Management, Inc.<\/td>\n<\/tr>\n
\u00a0 Carlos Antonio Rodriguez<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/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 David Edward Smith<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Clint Herrison Stoffels<\/td>\n\u00a0 UBS Financial Services Inc.<\/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<\/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 December 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 Helle Romer Bannister \u00a0 HighTower Advisors, LLC […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1],"tags":[],"class_list":["post-5737","post","type-post","status-publish","format-standard","hentry","category-uncategorized"],"yoast_head":"\nIn December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 12, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA — January 12, 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\/december-2017-finra-bars-registered-individuals-failure-comply-finra-rules\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 12, 2018\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for December 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA — January 12, 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":"In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 12, 2018","description":"According to FINRA Disciplinary actions for December 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA — January 12, 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\/december-2017-finra-bars-registered-individuals-failure-comply-finra-rules\/","twitter_card":"summary_large_image","twitter_title":"In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 12, 2018","twitter_description":"According to FINRA Disciplinary actions for December 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA — January 12, 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\/december-2017-finra-bars-registered-individuals-failure-comply-finra-rules\/","url":"https:\/\/www.silverlaw.com\/blog\/december-2017-finra-bars-registered-individuals-failure-comply-finra-rules\/","name":"In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 12, 2018","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2018-01-12T16:48:45+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 barred from FINRA and cannot currently work for a FINRA — January 12, 2018","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/december-2017-finra-bars-registered-individuals-failure-comply-finra-rules\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/december-2017-finra-bars-registered-individuals-failure-comply-finra-rules\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/december-2017-finra-bars-registered-individuals-failure-comply-finra-rules\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules"}]},{"@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\/5737","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=5737"}],"version-history":[{"count":3,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5737\/revisions"}],"predecessor-version":[{"id":5740,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5737\/revisions\/5740"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=5737"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=5737"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=5737"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}