A National Securities Arbitration & Investment Fraud Law Firm

FacebookTwitterLinkedInJustiaFeed

Published on:

FINRA Bars Registered Individuals in September 2018 for Violations of FINRA Rules

According to FINRA Disciplinary actions for September 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

  Mona Ali   JP Morgan Securities LLC
  JP Morgan Chase Bank
  Bobbie Jo Besler   Farmers Financial Solutions
  State Farm VP Mgmt Corp
  Jeffrey Cederberg   Primex
  Capwest Securities, Inc
  Vincente Davila   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Alan Garett   Fidelity Brokerage Services LLC
  Ramon Herrera   Wells Fargo Clearing Services, LLC
  Mandee Khu   JP Morgan Securities LLC
  Chase Investment Services Corp
  John Maccoll   UBS Financial Services Inc
  Morgan Stanley DW Inc.
  Felipe Munive   Allstate Financial Services, LLC
  Gordan Nitka   MML Investor Services, LLC
  MassMutual Life Insurance Co
  Daniel Ochao   Farmers Financial Solutions, LLC
  George Oldoerp   H Beck, Inc.
  Diversified Securities, Inc
  Mary Olsen
  Paul Prestia   Laidlaw & Company LTD
  Network 1 Financial Securities Inc.
  David Taylor   Lincoln Financial Securities Corp
  Christopher Threet   JP Morgan Securities LLC
  Capital One Bank

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.

 

 

Contact Information