{"id":6436,"date":"2018-08-28T14:12:41","date_gmt":"2018-08-28T18:12:41","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6436"},"modified":"2018-08-28T14:12:41","modified_gmt":"2018-08-28T18:12:41","slug":"in-august-2018-finra-bars-registered-individuals-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-august-2018-finra-bars-registered-individuals-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"In August 2018, FINRA Bars Registered Individuals for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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

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

\n

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

\u00a0 Gregory Connell<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Ashley Evans<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Valbona Keja-Dasilva<\/td>\n\u00a0 Suntrust Investment Services, Inc<\/td>\n<\/tr>\n
\u00a0 CCO Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Keesang Kim<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Cynthia Moore<\/td>\n\u00a0 Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Joshua Stephens-Anselm<\/td>\n\u00a0 J.P. Morgan Securities<\/td>\n<\/tr>\n
\u00a0 J. P. Morgan Chase Bank<\/td>\n<\/tr>\n
\u00a0 John Stoddard<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Investools<\/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

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","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for August 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 Gregory Connell \u00a0 Ashley Evans \u00a0 Valbona […]<\/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-6436","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn August 2018, FINRA Bars Registered Individuals for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — August 28, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for August 2018, the following individuals were 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