{"id":7342,"date":"2018-10-26T10:27:43","date_gmt":"2018-10-26T14:27:43","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7342"},"modified":"2018-10-26T10:27:43","modified_gmt":"2018-10-26T14:27:43","slug":"finra-suspends-registered-individuals-in-october-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-october-2018-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in October 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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\n\n\n
\n

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

\n

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

\u00a0 Gregory Adamo<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Ricardo Bustamante<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Bustamante Family Legacy LLC<\/td>\n<\/tr>\n
\u00a0 Daniel Flores<\/td>\n\u00a0 Woodbury Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Princor Financial Services Corporation<\/td>\n<\/tr>\n
\u00a0 Jose Giraldo<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 David Lerner Associates, Inc<\/td>\n<\/tr>\n
\u00a0 Joshua Krize<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Country Capital Management Company<\/td>\n<\/tr>\n
\u00a0 Francine Lanaia<\/td>\n\u00a0 Windsor Street Capital, LP<\/td>\n<\/tr>\n
\u00a0 Meyers Associates LP<\/td>\n<\/tr>\n
\u00a0 Scott Miozzi<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Daniel Moore<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Scott Newbanks<\/td>\n\u00a0 KMS Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 United Planners\u2019 Financial Services of America<\/td>\n<\/tr>\n
\u00a0 Yousuf Saljooki<\/td>\n\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Jameson Shin<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Margaret Sterr<\/td>\n\u00a0 M Holding Securities, INC<\/td>\n<\/tr>\n
\u00a0 Catalyst Solutions Group, Inc<\/td>\n<\/tr>\n
\u00a0 Francisco Valenzuela<\/td>\n\u00a0 Morgan Stanely<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bryce Vance<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Jackie Wadsworth<\/td>\n\u00a0 IMS Securities Inc<\/td>\n<\/tr>\n
\u00a0 Retirement Investment Group<\/td>\n<\/tr>\n
\u00a0 Stephen Williams<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Eric Zimmer<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

 <\/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 October 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 Gregory Adamo \u00a0 Allstate Financial Services, LLC […]<\/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-7342","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in October 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — October 26, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2018, the following individuals 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