Securities Arbitration Lawyers BlogFINRA Disciplinary Actions For February 2020 Names Registered Individuals Barred For Failure To Provide Information
According to FINRA Disciplinary actions for February 2020, 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 |
| DiLiberto, Jesse | Fidelity Brokerage Services |
| Wilmington Capital Securities, LLC | |
| Fry, Stephen | Woodbury Financial Services, Inc |
| H.D. Vest Investment Services | |
| Johnson, Timothy Jr. | MML Investors Services, LLC |
| Suntrust Investment Services, Inc | |
| Mannera, Samuel | Wells Fargo Clearing Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | |
| Karney, Amogh | |
| McGuire, Jesse | JP Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Mostert, John | Quest Capital Strategies, Inc |
| Intersecurities, Inc. | |
| Murray, Robert | SW Financial |
| Joseph Stone Capital LLC | |
| Oplinger, Todd | IFS Securities |
| Ridgeway & Conger, Inc | |
| Rangel, Jesse | TD Ameritrade, Inc |
| Morgan Stanley | |
| Stokes, Dain | LPL Financial LLC |
| Edward Jones | |
| Thrush, Steven | Summit Brokerage Services, Inc |
| Cambridge Investment Research, Inc | |
| Washington, Robert |
Broker Charles Dorraine (
In the wake of recent market turbulence, it is important to remember that some investment losses are not “investment” losses at all, but rather losses that are the result of stockbroker theft, fraud, Ponzi schemes, and otherwise.
Cetera Financial Group, comprised of Cetera Advisors, Cetera Advisor Networks, First Allied Securities, and Summit Brokerage Services, recently announced that it is halting sales of non-traded real estate investment trusts (REITs) and interval funds, citing the likely inaccuracy of real estate valuations leading up to the COVID-19 pandemic. Cetera Financial Group has approximately 8,000 registered representatives operating across the country who are subject to this policy.