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

According to FINRA Disciplinary actions for February 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:

NAME FORMER EMPLOYERS
  DiLiberto, Jesse   Fidelity Brokerage Services
  Wilmington Capital Securities, LLC
  Fry, Stephen   Woodbury Financial Services, Inc
  H.D. Vest Investment Services
  Johnson, Timothy Jr.   MML Investors Services, LLC
  Suntrust Investment Services, Inc
  Mannera, Samuel   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith, Inc.
  Karney, Amogh
  McGuire, Jesse   JP Morgan Securities LLC
  Chase Investment Services Corp.
  Mostert, John   Quest Capital Strategies, Inc
  Intersecurities, Inc.
  Murray, Robert   SW Financial
  Joseph Stone Capital LLC
  Oplinger, Todd   IFS Securities
  Ridgeway & Conger, Inc
  Rangel, Jesse   TD Ameritrade, Inc
  Morgan Stanley
  Stokes, Dain   LPL Financial LLC
  Edward Jones
  Thrush, Steven   Summit Brokerage Services, Inc
  Cambridge Investment Research, Inc
  Washington, Robert

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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