According to FINRA Disciplinary actions for March 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
|
| Alfaro, Jennifer |
JP Morgan Securities |
| Austin, Aaron |
LPL Financial LLC |
| M & T Securities, Inc |
| Conner, Youn |
|
| Das, Anukul |
NYLife Securities |
| Nayeli, Rosalba |
JP Morgan Securities LLC |
| Wells Fargo |
| Ferraro, Andrew |
State Farm VP Mgmt Group |
| Chris Ferraro Insurance Agency |
| Fidelman, Peter |
Bradley Woods & Co |
| Griffen Securities Inc |
| Gaston, Frantz |
State Farm VP Mgmt |
| Frantz Gaston Jr. Insurance Agency |
| Guillory, Michael |
Financial West Group |
| The Shemano Group, Inc |
| Hamm, Brandon |
Wells Fargo Clearing Services |
| Hartigan, John |
Entrustpermal Securities LLC |
| Calyon Financial Inc |
| Jones, Marques |
Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America |
| Merlo, Robert |
Allstate Financial Services |
| Pruco Securities |
| Norris, Timothy |
BMO Harris Financial Advisors |
| HarrisDirect LLC |
| Olsen, Eric |
NYLIfe Securities LLC |
| Wellsfargo |
| Perez, Paul |
Investcorp, Inc |
| Fintegra LLC |
| Sullivan, Daniel Erich |
Wunderlich Securities |
| Chapdelaine & Co |
| Uribe, Juan |
Wells Fargo Clearing Services |
| JP Morgan Securities LLC |
| Wilson, Vance |
Wells Fargo Clearing Serices |
| Fidelity Brokerage Services |
| Witt, Robert |
Voya Financial Adisors |
| ING Financial Partners |
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.
Securities Arbitration Lawyers Blog
Sierra Alexandria Crocker (CRD #6725624) is a previously registered broker whose last known and only broker employer was Voya Financial Partners, LLC (CRD#:34815) of Jacksonville, FL. She began in the industry in 2016, and no current employment information is available.
Francisco Javier Valenzuela (CRD#:
The Financial Industry Regulatory Authority Inc. fined H. Beck $400,000 on November 20, 2018 for failing to maintain and enforce its own written supervisory procedures. Failing to maintain their procedures has resulted in the unsuitable sale of L-share variable annuities tied to long-term riders.