{"id":5822,"date":"2018-03-06T11:13:58","date_gmt":"2018-03-06T16:13:58","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5822"},"modified":"2018-03-06T11:13:58","modified_gmt":"2018-03-06T16:13:58","slug":"finra-names-individuals-barred-february-2018-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-february-2018-violations-finra-rules\/","title":{"rendered":"FINRA Names Individuals Barred in February 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 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\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

\n

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

\u00a0 Florjan Beqo<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Benjamin Phillip 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 Morgan Stanley DW Inc.<\/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 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 Oscar R. Galdamez<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Matthew Douglas Garrett<\/td>\n\u00a0 MML Distributors, LLC<\/td>\n<\/tr>\n
\u00a0 Michael D. Graham<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Kimberlyann Huegel<\/td>\n\u00a0 Vanguard Marketing Corporation<\/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 Garrett Dalton Martin<\/td>\n\u00a0 J.P. Morgan Securities 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 Hong Kun Pan<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Youngsoo Park<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Cornelius Peterson<\/td>\n\u00a0 Morgan Stanley<\/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 Gary Dennis Ruiz<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Capital One Investing, 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 Jamie Yuvonne Stickland<\/td>\n\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Joesph Francis Valdini<\/td>\n\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Worden Capital Management LLC<\/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. 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>. 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 February 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: 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-5822","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Names Individuals Barred 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 were barred from FINRA and cannot currently work for a FINRA — March 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-names-individuals-barred-february-2018-violations-finra-rules\/\" \/>\n<meta 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