{"id":5843,"date":"2018-04-04T10:38:49","date_gmt":"2018-04-04T14:38:49","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5843"},"modified":"2018-04-04T10:42:45","modified_gmt":"2018-04-04T14:42:45","slug":"march-2018-finra-suspends-registered-individuals-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/march-2018-finra-suspends-registered-individuals-violations-finra-rules\/","title":{"rendered":"In March 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Benjamin Glasser Aibel<\/td>\n\u00a0Wunderlich Securities, Inc.<\/td>\n<\/tr>\n
\u00a0Sanders Morris Harris Inc.<\/td>\n<\/tr>\n
\u00a0 Carter Page Brooks<\/td>\n\u00a0Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0Edward Jones<\/td>\n<\/tr>\n
\u00a0 Christopher Masharn Bruce<\/td>\n\u00a0State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Abel Chaves<\/td>\n\u00a0Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Christian Colon<\/td>\n\u00a0Ausdal Financial Partners, Inc.<\/td>\n<\/tr>\n
\u00a0UBS Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Randolph Lee Eddlemon III<\/td>\n\u00a0Geneos Wealth Management, Inc<\/td>\n<\/tr>\n
\u00a0Schooner Financial Associates<\/td>\n<\/tr>\n
\u00a0 Carlos Nestor Evertsz-Seda<\/td>\n\u00a0K.C. Ward Financial<\/td>\n<\/tr>\n
\u00a0J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Patrick Jahmar Fearon<\/td>\n\u00a0J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Kenneth Taylor Foreman<\/td>\n\u00a0Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0Foothill Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Miriam Fry<\/td>\n\u00a0Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0First Clearing, LLC<\/td>\n<\/tr>\n
\u00a0 Sherie Irene Gaunt<\/td>\n\u00a0Gill Capital Partners<\/td>\n<\/tr>\n
\u00a0 Roy Aurelio Gaytan<\/td>\n\u00a0Transamerica Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0World Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Kevin Richard Graetz<\/td>\n\u00a0Paulson Investment Company LLC<\/td>\n<\/tr>\n
\u00a0Roth Capital Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Minish Joe Hede<\/td>\n\u00a0Paulson Investment Company LLC<\/td>\n<\/tr>\n
\u00a0Roth Capital Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Shane Jason Kelly<\/td>\n\u00a0LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Atiq Urrehman Khan<\/td>\n\u00a0Transamerica Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0World Group Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Kimberly Pine Kitts<\/td>\n\u00a0Royal Alliance Associates, Inc.<\/td>\n<\/tr>\n
\u00a0Sound Financial, LLC<\/td>\n<\/tr>\n
\u00a0 David Wayne Krumrey<\/td>\n\u00a0Oppenheimer & Co Inc.<\/td>\n<\/tr>\n
\u00a0Stanford Group Company<\/td>\n<\/tr>\n
\u00a0 Gregory Alan LeVine<\/td>\n\u00a0First Allied Securities, Inc.<\/td>\n<\/tr>\n
\u00a0Commonwealth Financial Network<\/td>\n<\/tr>\n
\u00a0 Peter Jack Margaros<\/td>\n\u00a0State Farm VP Management Corp.<\/td>\n<\/tr>\n
\u00a0 Oscar Nunez<\/td>\n\u00a0J.H. Darbie & Co. Inc<\/td>\n<\/tr>\n
\u00a0Blackbrook Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Keisha Diane Pizzo<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Eric P. Poague<\/td>\n\u00a0Edward Jones<\/td>\n<\/tr>\n
\u00a0Lincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
\u00a0 Vanessa Beth-Anne Reeves-Farry<\/td>\n\u00a0J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Tyler V. Schultz<\/td>\n\u00a0MML Investor Services, LLC<\/td>\n<\/tr>\n
\u00a0MetLife Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Luis Alberto Zuniga<\/td>\n<\/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

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

According to FINRA Disciplinary actions for March 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 Benjamin Glasser Aibel \u00a0Wunderlich Securities, Inc. \u00a0Sanders […]<\/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-5843","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn March 2018, FINRA Suspends Registered Individuals 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 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