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FINRA Disciplinary Actions For December 2019 Name Registered Individuals Barred For Violations Of FINRA Rules

According to FINRA Disciplinary actions for December 2019, 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
  Bartley, Jevon   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Cross, Anita
  Gasser, Robert   Barclays Capital Inc
  ITG Derivatives LLC
  Gonzales, Edward   Edward Jones
  Horton, David   Ameriprise Financial Services, Inc
  IDS Life Insurance Company
  Mazza, Vincent   National Securities Corporation
  Kovak Securities Inc.
  Muraya, Benson
  Murrain, Merle II
  Roegiers, Anthony   Pruco Securities
  AXA Advisors, LLC
  Sperring, Donald Jr.   AXA Advisors, LLC
  The Equitable Life Assurance Society of the US
  Su, Zachary   J.P. Morgan Securities LLC
  World Financial Group
  Williams, Minjoe   Wells Fargo Clearing Services, LLC
  National Securities Corporation
  Wright, Tiana   Northwestern Mutual Investment Services 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 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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