A National Securities Arbitration & Investment Fraud Law Firm

FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules

According to FINRA Disciplinary actions for August 2019, the following individuals were suspended 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:

  Sandra Acree   Fidelity Brokerage Services
  Andrew Baker   Suntrust Investment Services
  Wells Fargo Advisors
  William Cannon   Lifemark Securities Corp
  Fortune Financial Services
  Patrick Devaney II   Financial West Group
  Sanford Roberts, Inc
  James D’Meo   Kenneth Jerome & Co
  Equity Services, Inc
  David Drees   American Financial Services
  Clinton Dunbar   Union Capital Company
  IFS Securities
  George Edwards   Edward Jones
  Cetera Investment Services
  Charles Frank   NYLife Securities
  MWA Financial Services
  Jack Lowrey Jr.   Ameriprise Financial Services
  NBC Securities
  Jeffrey Lundstrom   Signator Investors, Inc
  Transamerica Financial Advisors
  Uriah Mitchell   JP Morgan Securities
  Raymond Montchal   Morgan Stanley
  Citigroup Global Markets
  Robert Neuedorf   David Lerner Associates
  Merrill Lynch, Pierce, Fenner & Smith

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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