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A National Securities Arbitration & Investment Fraud Law Firm

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FINRA Bars Registered Individuals in May 2019 for Violations of FINRA Rules

According to FINRA Disciplinary actions for May 2019, 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

  Anderson, Andy   ProEquities, Inc.
  PFS Investments Inc,
  Bishop, Tywan   Charles Schwab & Co, Inc
  ETrade Securities LLC
  Conrekas, Edward   J.W. Cole Financial, Inc
  Morgan Stanley
  Donato, Scott   Morgan Stanley
  Flaningan, Joel   NYLife Securities LLC
  Synergy Investment Services LLC
  Johnson, Anthony
  Marnelego, Christopher   First Standard Financial Company LLC
  Merriman Capital, Inc
  Ness, Valerie
  Norris, Timothy   BMO Harris Financial Advisors, Inc
  HarrisDirect LLC
  Vrazel, Patsy
  Worthington, Bruce   Founders Financial Securities LLC
  Commonwealth Financial Network

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  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.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  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.  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.

 

 

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