{"id":5815,"date":"2018-03-06T11:02:53","date_gmt":"2018-03-06T16:02:53","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5815"},"modified":"2020-02-19T09:50:06","modified_gmt":"2020-02-19T14:50:06","slug":"finra-suspends-registered-individuals-february-2018-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-february-2018-violations-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in February 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 2018, 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\n\n
\n

NAME<\/strong><\/p>\n<\/td>\n

FORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Walter Lee Clark<\/td>\n\u00a0 Wilmington Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Adirondack Trading Group LLC<\/td>\n<\/tr>\n
\u00a0 Chelsea Lauren Clemons-Denby<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Ethan Frederick Daubert<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Truitt Scott Ficklin<\/td>\n\u00a0 Cetera Investment Services LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Philip William Formwalt<\/td>\n\u00a0 Woodmen Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Lawrence E. Hagedorn<\/td>\n\u00a0 The O.N. Equity Sales Company<\/td>\n<\/tr>\n
\u00a0 Ohio National Financial Services<\/td>\n<\/tr>\n
\u00a0 Raymond Woody Hooker<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Brian Patrick Hurley<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Lindsey Marie Katula<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Jason Harris Klabal<\/td>\n\u00a0 Alexander Capital, L.P.<\/td>\n<\/tr>\n
\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Richard James Murphy<\/td>\n\u00a0 Tullett Prebon Financial Services LLC<\/td>\n<\/tr>\n
\u00a0 Citation Financial Group, L.P.<\/td>\n<\/tr>\n
\u00a0 James Albert Pettit<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Michael Alan Sadouskas<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 John Greg Schmidt<\/td>\n\u00a0 Wells Fargo Advisors Financial Network, LLC<\/td>\n<\/tr>\n
\u00a0 Stifel, Nicolaus & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 John Joseph Silvernale<\/td>\n\u00a0 HD Vest Investment Services<\/td>\n<\/tr>\n
\u00a0 Casey Tyler Thompson<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual\u00a0 Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Aaron Bronelle Wilbanks<\/td>\n\u00a0 Wilbanks Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Birchtree Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Sara Wilhite<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Bradley Curtis Williams<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Brandon M. Williams<\/td>\n\u00a0 BMO Harris Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services, LLC<\/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.\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

 <\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for February 2018, 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 Walter Lee Clark \u00a0 Wilmington Capital Securities, […]<\/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-5815","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in February 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — March 6, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2018, the following individuals 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