According to FINRA Disciplinary actions for January 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 |
| Balas, Tami | SCF Securities, Inc |
| Klopp Agency | |
| Bustamante, Ricardo | JP Morgan Securities LLC |
| Bustamante Family Legacy, LLC | |
| Coffey, Brian | National Financial Services LLC |
| Fidelity Broker Services LLC | |
| Dulya, Rita | Kovak Securities Inc. |
| Pro-Integrity Securities | |
| Evans, Makisha | |
| Feitelnerg, Brendan | United Planners Financial Services |
| LPL Financial LLC | |
| Jimenez, Mario | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America | |
| Justafort, Frantz | JP Morgan Securities LLC |
| Chase Investment Services | |
| Maddox, Nicholas | TCFG Wealth Management LLC |
| US Bancorp Investments | |
| Gustavo Madrigal-Flores | JP Morgan Securities |
| Miozzi, Scott | NYLife Securities LLC |
| Newbanks, Scott | KMS Financial Services, Inc |
| United Planners Financial Services | |
| Nichols, Viginia | LPL Financial LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Resciniti, Michael | Spartan Capital Securities, LLC |
| First Standard Financial Company | |
| Sherry Jr., Zachary | NYLife Securities LLC |
| NY Life Insurance Co | |
| Simonds, Christopher | Edward Jones |
| Local Property LLC | |
| Tejeda, Divanna | JP Morgan Securities LLC |
| Chase Investment Services | |
| Valenzuela, Francisco | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Wadsworth, Jackie | IMS Securities, Inc |
| Retirement Investment Group | |
| Walker, Rick | Morgan Stanley |
| Citigroup Global Markets Inc | |
| Walters, James II | Edward Jones |
| Williams, Stephen | LPL Financial LLC |
| Edward Jones | |
| Yassin, Mohamed | National Securities Corp |
| Morgan Stanley |
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.