{"id":5840,"date":"2018-04-04T10:33:14","date_gmt":"2018-04-04T14:33:14","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5840"},"modified":"2018-09-07T09:55:11","modified_gmt":"2018-09-07T13:55:11","slug":"finra-bars-registered-individuals-march-2018-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-march-2018-violations-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in March 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Jesse Baker<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner &Smith\u00a0 Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Ryan Costa<\/td>\n\u00a0 Farmer\u2019s Financial Solutions, Inc.<\/td>\n<\/tr>\n
\u00a0 Benjamin Asa Duty<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Colleen Elizabeth Flanagan<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Marques Alexander Green<\/td>\n\u00a0 NY Life Securities LLC<\/td>\n<\/tr>\n
\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 R. Barry Jones<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner &Smith\u00a0 Inc.<\/td>\n<\/tr>\n
\u00a0 Banc of America Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Deanne M. Lampe<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Alana Marie Lewis<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Veronica Azucena Lopez<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Scott Alexander Markle<\/td>\n\u00a0 HD Vest Investment Services<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Peter Andrew O\u2019Hara<\/td>\n\u00a0 Charles Schwab & Co, Inc.<\/td>\n<\/tr>\n
\u00a0 Jarrett Powell<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Ciro Santoro<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Equity Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Daniel Richard Shaw<\/td>\n\u00a0 T. Rowe Price Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Simon Boowon Song<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Dawei Wang<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner &Smith\u00a0 Inc.<\/td>\n<\/tr>\n
\u00a0 Scottrade, 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 March 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 Jesse Baker \u00a0 Merrill Lynch, Pierce, Fenner […]<\/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-5840","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in March 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — April 4, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2018, the following individuals were barred from 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