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A National Securities Arbitration & Investment Fraud Law Firm

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Registered Individuals Barred by FINRA in November 2018 for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for November 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

  Denise Canez
  James Flynn   IFS Securities
  Voya Financial Advisors, Inc
  Glenn Grosek   Citizens Securities, Inc
  Pruco Securities, LLC
  Phillip Johnson   D.H. Hill Securities, LLP
  Suntrust Investment Services, Inc
  Lloyd Johnston   Capital Financial Services, Inc
  BP&J / LLC
  Robin Lomont
  Bradley Pace   LPL Financial LLC
  A.J. Pace & Co, Inc
  Damian Serret   PFS Investments Inc
  James Ward   Northwestern Mutual Investment Services, LLC
  Stephen Yaworsky   Raymond James Financial Services, Inc
  Bancwest Investment Services, Inc.

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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