{"id":7345,"date":"2018-10-26T10:31:05","date_gmt":"2018-10-26T14:31:05","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7345"},"modified":"2018-10-26T10:31:05","modified_gmt":"2018-10-26T14:31:05","slug":"october-2018-disciplinary-actions-name-individuals-barred-from-finra-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/october-2018-disciplinary-actions-name-individuals-barred-from-finra-for-violations-of-finra-rules\/","title":{"rendered":"October 2018 Disciplinary Actions Name Individuals Barred from FINRA for Violations of FINRA Rules"},"content":{"rendered":"

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

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

\n

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

\u00a0 Lindsey Brown<\/td>\n<\/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 Keven Gayle<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Jose Giraldo<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America NA<\/td>\n<\/tr>\n
\u00a0 Cristhelle Medina<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
<\/td>\n\u00a0 Well Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Stephen Murray<\/td>\n\u00a0 Raymond James & Associates, Inc<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, 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<\/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

 <\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for October 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 Lindsey Brown \u00a0 William Downing \u00a0 Coastal […]<\/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-7345","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nOctober 2018 Disciplinary Actions Name Individuals Barred from FINRA 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 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