{"id":5931,"date":"2018-05-08T11:49:06","date_gmt":"2018-05-08T15:49:06","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5931"},"modified":"2020-09-29T14:46:33","modified_gmt":"2020-09-29T18:46:33","slug":"finra-suspends-registered-individuals-in-april-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-april-2018-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in April 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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

 <\/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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Donald Nelson Bower III<\/td>\n\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Xavier Dwight Clinton<\/td>\n\u00a0 J. P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Geoffrey Bret Davidson<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 James Benjamin Farris<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Miguel Eduardo Guzman<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 MA Investments Corp<\/td>\n<\/tr>\n
\u00a0 Melanie Haning<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Mark Anthony Hernandez<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Ashley Marie Hostetter<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Shawn I Houslin<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Spencer Joseph Lassetter<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Abed William Lulu<\/td>\n\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Gurdev Singh Mann<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael D. McKenny<\/td>\n\u00a0 Country Capital Management Company<\/td>\n<\/tr>\n
\u00a0 Metlife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Andrea Marie Milinkovic<\/td>\n\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ryan Michael Murnane<\/td>\n\u00a0 Alexander Capital, LP<\/td>\n<\/tr>\n
\u00a0 Woodstock Financial Group. Inc<\/td>\n<\/tr>\n
\u00a0 Christopher Quocthai Nguyen<\/td>\n\u00a0 TD Ameritrade, Inc<\/td>\n<\/tr>\n
\u00a0 Albert John Papada<\/td>\n\u00a0 Horace Mann Investors, Inc.<\/td>\n<\/tr>\n
\u00a0 Zachary T Rawson<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Tyler V. Schultz<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Metlife Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Brett Michael Williams<\/td>\n\u00a0 NYLife Securities, 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<\/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 April 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 Donald Nelson Bower III \u00a0 Invest […]<\/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-5931","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in April 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — May 8, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2018, the following individuals were suspended from FINRA 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