{"id":6403,"date":"2018-08-21T08:14:39","date_gmt":"2018-08-21T12:14:39","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6403"},"modified":"2018-08-21T08:14:39","modified_gmt":"2018-08-21T12:14:39","slug":"finra-suspends-registered-individuals-in-july-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-july-2018-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in July 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 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

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

\n

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

\u00a0 Alan Demond Garrett<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Shawn Arthur Goding<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Shawn Goding Insurance<\/td>\n<\/tr>\n
\u00a0 Ramon Arturo Herrera<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/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 Mandee Khu<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Spencer Joseph Lassetter<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/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 Stephen Allen Murray<\/td>\n\u00a0 Raymond James & Associates, Inc<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc<\/td>\n<\/tr>\n
\u00a0 George James Oldoerp<\/td>\n\u00a0 H. Beck, Inc<\/td>\n<\/tr>\n
\u00a0 Diversified Securities, Inc<\/td>\n<\/tr>\n
\u00a0\u00a0 Mary E. Olson<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Paul Joseph Prestia<\/td>\n\u00a0 Laidlaw & Company<\/td>\n<\/tr>\n
\u00a0 Network 1 Financial Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Amanda Justine Sarabia<\/td>\n<\/td>\n<\/tr>\n
\u00a0 David Warren Taylor<\/td>\n\u00a0 Lincoln Financial Securities Corporation<\/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 July 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 Alan Demond Garrett \u00a0 Fidelity Brokerage Services […]<\/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-6403","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in July 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — August 21, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2018, the following individuals were 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