{"id":5755,"date":"2018-02-06T10:30:03","date_gmt":"2018-02-06T15:30:03","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5755"},"modified":"2018-05-22T15:57:30","modified_gmt":"2018-05-22T19:57:30","slug":"finra-bars-registered-individuals-january-2018-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-january-2018-violations-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2018, 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

Silver Law Group 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.\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\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><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/td>\n<\/tr>\n

\u00a0 Donald C. Blackwell<\/td>\n\u00a0 Carlton & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Wayne Earl Cooksey<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Adham Shafik Khalil<\/td>\n\u00a0 Allstate Financial Services, 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 Caeron Arlington McClintock<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Stanley Calvin Pigue<\/td>\n\u00a0 Edward Jones<\/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 Jessica Rene Sewell<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Amus Desmond Stevens<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLVC<\/td>\n<\/tr>\n
\u00a0 Anaida Tashchyan<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 WM Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 David Arthur Wismer III<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 American Express Financial Advisors Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. 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. 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 January 2018, 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: Silver Law Group represents investors in securities and investment fraud cases […]<\/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-5755","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — February 6, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — February 6, 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-bars-registered-individuals-january-2018-violations-finra-rules\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — February 6, 2018\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for January 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — February 6, 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 Bars Registered Individuals in January 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — February 6, 2018","description":"According to FINRA Disciplinary actions for January 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — February 6, 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-bars-registered-individuals-january-2018-violations-finra-rules\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — February 6, 2018","twitter_description":"According to FINRA Disciplinary actions for January 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — February 6, 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-bars-registered-individuals-january-2018-violations-finra-rules\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-january-2018-violations-finra-rules\/","name":"FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — February 6, 2018","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2018-02-06T15:30:03+00:00","dateModified":"2018-05-22T19:57:30+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for January 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — February 6, 2018","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-january-2018-violations-finra-rules\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-january-2018-violations-finra-rules\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-january-2018-violations-finra-rules\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Registered Individuals in January 2018 for Violations of 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\/5755","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=5755"}],"version-history":[{"count":5,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5755\/revisions"}],"predecessor-version":[{"id":5977,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5755\/revisions\/5977"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=5755"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=5755"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=5755"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}