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

According to FINRA Disciplinary actions for February 2020, 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:

  Belesis, George   Portfolio Advisors Alliance, LLC
  John Thomas Financial
  Berghausen, Joseph   ADP Broker-Dealer, Inc
  Cetera Advisor Networks LLC
  Blount, Dustin   MML Investors Services, LLC
  Northwestern Mutual Investment Services, LLC
  Chu, Felix   NYLife Securities
  Choburn, Brian   Maxim Group LLC
  The Buckingham research Group Inc
  Drury, Michael   Stillpoint Capital, LLC
  United Business Brokers, Inc
  Nguyen, Hiep   Merrill Lynch, Pierce, Fenner & Smith Inc
  Citizens Securities, Inc
  Lee, Robert
  Ricker, Gregory    Westpark Capital, Inc
  National Securities Corp
  Rockwell, David   Cetera Advisor Networks LLC
  Suntrust Investment Services
  Ross, Paul   Hantz Financial Services, Inc
  Thrivent Investment Management Inc
  Schneck, Mark   Northwestern Mutual Investment Services, LLC
  MML Investors Services
  Zakarin, Eric   Lombard Securities Inc
  Independent Financial Group

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 (800)-975-4345 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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