Securities Arbitration Lawyers BlogFINRA Bars Registered Individuals in July 2019 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for July 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 |
| Bang, Gregory | NYLIfe Securities LLC |
| Block, Gabriel | First Standard Financial Company |
| National Securities Corporation | |
| Cardwell, Harlan III | Prospera Financial Services, Inc |
| Oxford Financial Group | |
| Duchan, Patricia | UBS Financial Services Inc |
| Golan, Rafael | Crystal Bay Securities Inc. |
| Independent Financial Group, LLC | |
| Kane, Jordan | Citizens Securities, Inc |
| Martinez, Joseph | Pruco Securities, LLC |
| The Prudential Insurance Company of America | |
| Sercia, Anthony | Traderfield Securities Inc |
| Legend Securities, Inc | |
| Weldon, Benjamin | State Farm VP Management Corp |
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.