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

According to FINRA Disciplinary actions for March 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:

  Jesse Baker   Merrill Lynch, Pierce, Fenner &Smith  Inc.
  Joseph Ryan Costa   Farmer’s Financial Solutions, Inc.
  Benjamin Asa Duty   State Farm VP Management Corp
  Colleen Elizabeth Flanagan   Fidelity Brokerage Services LLC
  Marques Alexander Green   NY Life Securities LLC
  MetLife Securities Inc.
  R. Barry Jones   Merrill Lynch, Pierce, Fenner &Smith  Inc.
  Banc of America Investment Services, Inc.
  Deanne M. Lampe   Morgan Stanley
  Citigroup Global Markets Inc.
  Alana Marie Lewis   Edward Jones
  Veronica Azucena Lopez   Wells Fargo Advisors, LLC
  Morgan Stanley
  Scott Alexander Markle   HD Vest Investment Services
  LPL Financial LLC
  Peter Andrew O’Hara   Charles Schwab & Co, Inc.
  Jarrett Powell
  Ciro Santoro   Allstate Financial Services, LLC
  Equity Services, Inc.
  Daniel Richard Shaw   T. Rowe Price Investment Services, Inc.
  Simon Boowon Song   AXA Advisors, LLC
  Dawei Wang   Merrill Lynch, Pierce, Fenner &Smith  Inc.
  Scottrade, Inc.

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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