{"id":6192,"date":"2018-07-09T15:43:27","date_gmt":"2018-07-09T19:43:27","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6192"},"modified":"2018-07-09T15:47:09","modified_gmt":"2018-07-09T19:47:09","slug":"registered-individuals-barred-by-finra-in-june-2018-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-by-finra-in-june-2018-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"Registered Individuals Barred by FINRA in June 2018 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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

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

\n

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

\u00a0 Donald Nelson Bower III<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Invest Financial Corp<\/td>\n<\/tr>\n
\u00a0 Christopher Masharn Bruce<\/td>\n\u00a0 Statefarm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Chris Bruce Insurance Agency<\/td>\n<\/tr>\n
\u00a0 Geoffrey Bret Davidson<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Miriam Fry<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 First Clearing, LLC<\/td>\n<\/tr>\n
\u00a0 Melanie Haning<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Merrill Lync, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Ashley Marie Hostetter<\/td>\n<\/td>\n<\/tr>\n
\u00a0 David Wayne Krumrey<\/td>\n\u00a0 Oppenheimer & Co., Inc<\/td>\n<\/tr>\n
\u00a0 Stanford Group Company<\/td>\n<\/tr>\n
\u00a0 Gregory Alan Levine<\/td>\n\u00a0 First Allied Securities, Inc<\/td>\n<\/tr>\n
\u00a0 MBM Capital Management<\/td>\n<\/tr>\n
\u00a0 Thomas Williams Manley II<\/td>\n\u00a0 RBC Capital Markets, LLC<\/td>\n<\/tr>\n
\u00a0 Lloyds Securities<\/td>\n<\/tr>\n
\u00a0 Gurdey Singh Mann<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Quocthai Nguyen<\/td>\n\u00a0 TD Ameritrade, Inc<\/td>\n<\/tr>\n
\u00a0 WellsFargo Bank<\/td>\n<\/tr>\n
\u00a0 Brett Michael Williams<\/td>\n\u00a0 NY Life Securities LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.\u00a0 If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.<\/p>\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

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

According to FINRA Disciplinary actions for June 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 Donald Nelson Bower III \u00a0 Edward Jones […]<\/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-6192","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Barred by FINRA in June 2018 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — July 9, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2018, the following individuals were barred from 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