{"id":7485,"date":"2019-01-03T08:57:56","date_gmt":"2019-01-03T13:57:56","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7485"},"modified":"2019-06-07T16:22:08","modified_gmt":"2019-06-07T20:22:08","slug":"in-december-2018-finra-suspends-registered-individuals-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-december-2018-finra-suspends-registered-individuals-for-violations-of-finra-rules\/","title":{"rendered":"In December 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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\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 Barrick, Tabor<\/td>\n\u00a0 FBL Marketing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Conklin, Jeffrey<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 American General<\/td>\n<\/tr>\n
\u00a0 Crocker, Sierra<\/td>\n\u00a0 Voya Financial Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Suntrust Bank<\/td>\n<\/tr>\n
\u00a0 Fidelman, Peter<\/td>\n\u00a0 Bradley Woods & Co LTD<\/td>\n<\/tr>\n
\u00a0 Griffin Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Gaston, Frantz<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Frantz Gaston Jr Insurance Agency<\/td>\n<\/tr>\n
\u00a0 Guillory, Michael<\/td>\n\u00a0 Financial West Group<\/td>\n<\/tr>\n
\u00a0 The Shemano Group<\/td>\n<\/tr>\n
\u00a0 Harris, Donna<\/td>\n\u00a0 Vanguard Marketing Corp<\/td>\n<\/tr>\n
\u00a0 Hartigan, John<\/td>\n\u00a0 Entrustpermal Securities LLC<\/td>\n<\/tr>\n
\u00a0 Calyon Financial Inc<\/td>\n<\/tr>\n
\u00a0 Henty, Omar<\/td>\n\u00a0 Cetera Advisors LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 King, Erin<\/td>\n\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 Lossing, Christopher<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 McNeil, Randolph<\/td>\n\u00a0 Buckman, Buckman & Reid, Inc<\/td>\n<\/tr>\n
\u00a0 Garden State Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Manichino, Richard<\/td>\n\u00a0 Next Financial Group, Inc<\/td>\n<\/tr>\n
\u00a0 Wunderlich Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Nicholl, Timothy<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Olson, Eric<\/td>\n\u00a0 NYLIFE Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo<\/td>\n<\/tr>\n
\u00a0 Perez, Paul<\/td>\n\u00a0 Investacorp, Inc<\/td>\n<\/tr>\n
\u00a0 Fintegra, LLC<\/td>\n<\/tr>\n
\u00a0 Simon, Justin<\/td>\n\u00a0 NYLIfe Securities LLC<\/td>\n<\/tr>\n
\u00a0 Country Capital Mgmt Company<\/td>\n<\/tr>\n
\u00a0 Strawn, Brandon<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Sullivan, Daniel<\/td>\n\u00a0 Wunderlich Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Chapdelaine & Co<\/td>\n<\/tr>\n
\u00a0 Tinsley, Sean<\/td>\n\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Vallencourt, Peter<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Wilson, Vance<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Witt, Robert<\/td>\n\u00a0 Voya Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 ING Financial Partners, Inc<\/td>\n<\/tr>\n
\u00a0 Wood, Daniel<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Wright, Bryan<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 The Prudential Insurance Company of America<\/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 December 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 Barrick, Tabor \u00a0 FBL Marketing 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-7485","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn December 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — January 3, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2018, the following individuals 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