{"id":6036,"date":"2018-06-04T09:38:46","date_gmt":"2018-06-04T13:38:46","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6036"},"modified":"2020-02-19T09:47:00","modified_gmt":"2020-02-19T14:47:00","slug":"individuals-barred-by-finra-in-may-2018-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/individuals-barred-by-finra-in-may-2018-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"Individuals Barred by FINRA in May 2018 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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

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

\n

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

\u00a0 Benjamin Glasser Aibel<\/td>\n\u00a0 Wunderlich Securities,Inc<\/td>\n<\/tr>\n
\u00a0 Sanders Morris Harris Inc<\/td>\n<\/tr>\n
\u00a0 Carter Page Brooks<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Walter Lee Clark<\/td>\n\u00a0 Wilmington Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Adirondack Trading Groups LLC<\/td>\n<\/tr>\n
\u00a0 Christian Colon<\/td>\n\u00a0 Ausdal Financial Partners, Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Randolph Lee Eddlemon III<\/td>\n\u00a0 Geneos Wealth Management, Inc.<\/td>\n<\/tr>\n
\u00a0 Schooner Financial Associates<\/td>\n<\/tr>\n
\u00a0 Carlos Nestor Evertsz-Seda<\/td>\n\u00a0 K.C. Ward Financial<\/td>\n<\/tr>\n
\u00a0 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Kenneth Taylor Foreman<\/td>\n\u00a0 Securities America, Inc<\/td>\n<\/tr>\n
\u00a0 Foothill Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Sherie Irene Gaunt<\/td>\n\u00a0 Gill Capital Partners<\/td>\n<\/tr>\n
\u00a0 Kimberly Pine Kitts<\/td>\n\u00a0 Royal Alliance Associates, Inc<\/td>\n<\/tr>\n
\u00a0 Sound Financial, LLC<\/td>\n<\/tr>\n
\u00a0 Peter Jack Margaros<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 James Albert Pettit<\/td>\n\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Keisha Diane Pizzo<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Eric P. Poage<\/td>\n\u00a0\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Lincoln Financial Advisors Corporation<\/td>\n<\/tr>\n
\u00a0 John Greg Schmidt<\/td>\n\u00a0 Wells Fargo Advisors Financial Network, LLC<\/td>\n<\/tr>\n
\u00a0 Stifel, Nicholas & Company, Inc<\/td>\n<\/tr>\n
\u00a0 Bradley Curtis Williams<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Invest Financial Corporation<\/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. 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 May 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 Benjamin Glasser Aibel \u00a0 Wunderlich Securities,Inc \u00a0 […]<\/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-6036","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIndividuals Barred by FINRA in May 2018 for Failing to Comply with 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 barred 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