{"id":6442,"date":"2018-08-28T14:30:38","date_gmt":"2018-08-28T18:30:38","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6442"},"modified":"2018-08-28T14:30:38","modified_gmt":"2018-08-28T18:30:38","slug":"finra-suspends-registered-individuals-in-august-2018-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-august-2018-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in August 2018 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Lindsey Brown<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Michael Dalton<\/td>\n\u00a0 Charles Schwab & Co., Inc<\/td>\n<\/tr>\n
\u00a0 William Downing<\/td>\n\u00a0 Coastal Equities, Inc.<\/td>\n<\/tr>\n
\u00a0 J.W. Cole Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 James Flynn<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 VOYA Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 Keven Gayle<\/td>\n\u00a0 NY Life Securities LLC<\/td>\n<\/tr>\n
\u00a0 Lloyd Johnston<\/td>\n\u00a0 Capital Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Legacy Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 John Kurzhal<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Beatriz Lira<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Beatriz Lira Insurance Company<\/td>\n<\/tr>\n
\u00a0 Cristhelle Medina<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Bradley Pace<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 A.J. Pace & Co, Inc.<\/td>\n<\/tr>\n
\u00a0 Ivan Reyes<\/td>\n\u00a0 Alexander Capital, L.P.<\/td>\n<\/tr>\n
\u00a0 Craft Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 David Rodgers<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Rodgers Capital Management<\/td>\n<\/tr>\n
\u00a0 Michael Sekusky<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jimmy Tran<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Anthony Valois<\/td>\n\u00a0 PHX Financial, Inc<\/td>\n<\/tr>\n
\u00a0 Meyers Associates, L.P.<\/td>\n<\/tr>\n
\u00a0 James Ward<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/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 August 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 Lindsey Brown \u00a0 Michael Dalton \u00a0 Charles […]<\/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-6442","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in August 2018 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 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