{"id":6032,"date":"2018-06-04T09:26:56","date_gmt":"2018-06-04T13:26:56","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6032"},"modified":"2018-06-04T09:26:56","modified_gmt":"2018-06-04T13:26:56","slug":"finra-suspends-registered-individuals-in-may-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-may-2018-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in May 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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

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

\n

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

\u00a0 Fernando Enrique Acosta<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Paul Anthony Bustamante<\/td>\n\u00a0 Empire Asset Management Company<\/td>\n<\/tr>\n
\u00a0 Bishop, Rosen & Co, Inc<\/td>\n<\/tr>\n
\u00a0 Janna L. Carruth-Vogler<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Abel Chavez<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Thomas Matthew Dunlap<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Saima Ashraf Durrani<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Joshua David Ellis<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 BCG Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Ashley Evans<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Samual LaWayne Haddix<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Christopher Lee Hibbard<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America, NA<\/td>\n<\/tr>\n
\u00a0 Shawn I Houslin<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America, NA<\/td>\n<\/tr>\n
\u00a0 Michael Dennis Jackson<\/td>\n\u00a0 Securities America, Inc<\/td>\n<\/tr>\n
\u00a0 Brecek & Young Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Valbona Keja Keja-Dasilva<\/td>\n\u00a0 Suntrust Investment Services, Inc<\/td>\n<\/tr>\n
\u00a0 CCO Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Shane Jason Kelly<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Atlantic Capital Advisors<\/td>\n<\/tr>\n
\u00a0 Keesang John Kim<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Michael Ray Matos<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Uriah Eli Mitchell<\/td>\n\u00a0\u00a0J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael Patrick Nanto<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Mutual of Omaha Investor Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Frederick Lamar Pearse<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Anteneh A. Roberts<\/td>\n\u00a0\u00a0Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America, N.A.<\/td>\n<\/tr>\n
\u00a0 Jeanette Marie Sanchez<\/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<\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for May 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 Fernando Enrique Acosta   \u00a0 Paul Anthony […]<\/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-6032","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in May 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — June 4, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2018, the following individuals were suspended from 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