According to FINRA disciplinary actions for April 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:
|Joseph Berghausen||ADP Broker-Dealer, Inc.|
|Cetera Advisor Networks LLC|
|Gregory Morgan||Allstate Financial Services, LLC|
|Wesley Rayner||Santander Securities LLC|
|JP Morgan Securities LLC|
|David Rockwell||Cetera Advisor Networks LLC|
|Suntrust Investment Services, Inc.|
|Paul Ross||Hantz Financial Services, Inc.|
|Thrivent Investment Management Inc.|
|Mark Schneck||Northwestern Mutual Investment Services LLC|
|MML Investors Services,LLC|
|Dennis Taylor||Taylor Capital Management Inc.|
|Independent Financial Group, LLC|
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 toll free at (800) 975-4345 or email email@example.com 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.