{"id":6194,"date":"2018-07-09T15:46:41","date_gmt":"2018-07-09T19:46:41","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6194"},"modified":"2018-07-09T15:46:41","modified_gmt":"2018-07-09T19:46:41","slug":"finra-suspends-registered-individuals-in-june-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-june-2018-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in June 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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

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

\n

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

\u00a0 Mona Ali<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Bobbie Jo Bressler<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Jeffrey Scott Cederberg<\/td>\n\u00a0 Primex<\/td>\n<\/tr>\n
\u00a0 Capwest Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Gregory James Connell<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Vicente Davila<\/td>\n\u00a0 Morgan Stanely<\/td>\n<\/tr>\n
\u00a0 Merill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Miguel Eduardo Guzman<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 MA Investment Corp<\/td>\n<\/tr>\n
\u00a0 John Matthew Kurzhal<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 John Cochran Maccoll<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley DW Inc<\/td>\n<\/tr>\n
\u00a0 Cynthia Mae Moore<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Felipe De Jesus U Munive<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Gordon Beecher Nitka<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 MassMutual Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Daniel Ochoa<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Joshua Alexander Stephens-Anselm<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Capital One Bank NA<\/td>\n<\/tr>\n
\u00a0 John Bradford Stoddard<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Zions Bank<\/td>\n<\/tr>\n
\u00a0 Christopher Robert Threet<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Capital One Bank<\/td>\n<\/tr>\n
\u00a0 David Wells<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Yuhong Zhou<\/td>\n\u00a0 Transamerica Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 World Financial Group, Inc<\/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 June 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 Mona Ali \u00a0 JP Morgan Securities \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-6194","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in June 2018 for Violations of 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 suspended from 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