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FINRA Disciplinary Actions For April 2020 Names Registered Individuals Barred For Failure To Provide Information

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
  Stephanie Dannenberg
  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
  Cynthia Tarner
  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 ssilver@silverlaw.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.

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