We are providing FREE consultations via PHONE or VIDEO conferencing for your safety and convenience. Read More!

A National Securities Arbitration & Investment Fraud Law Firm

FINRA Disciplinary Actions for January 2019 Name Individuals Barred for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for January 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
  Balas, Tami   SCF Securities, Inc
  Klopp Agency
  Bustamante, Ricardo   JP Morgan Securities LLC
  Bustamante Family Legacy, LLC
  Coffey, Brian   National Financial Services LLC
  Fidelity Broker Services LLC
  Dulya, Rita   Kovak Securities Inc.
  Pro-Integrity Securities
  Evans, Makisha
  Feitelnerg, Brendan   United Planners Financial Services
  LPL Financial LLC
  Jimenez, Mario   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Justafort, Frantz   JP Morgan Securities LLC
  Chase Investment Services
  Maddox, Nicholas   TCFG Wealth Management LLC
  US Bancorp Investments
  Gustavo Madrigal-Flores   JP Morgan Securities
  Miozzi, Scott   NYLife Securities LLC
  Newbanks, Scott   KMS Financial Services, Inc
  United Planners Financial Services
  Nichols, Viginia   LPL Financial LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Resciniti, Michael   Spartan Capital Securities, LLC
  First Standard Financial Company
  Sherry Jr., Zachary   NYLife Securities LLC
  NY Life Insurance Co
  Simonds, Christopher   Edward Jones
  Local Property LLC
  Tejeda, Divanna   JP Morgan Securities LLC
  Chase Investment Services
  Valenzuela, Francisco   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
 Wadsworth, Jackie   IMS Securities, Inc
  Retirement Investment Group
  Walker, Rick   Morgan Stanley
  Citigroup Global Markets Inc
  Walters, James II   Edward Jones
  Williams, Stephen   LPL Financial LLC
  Edward Jones
  Yassin, Mohamed   National Securities Corp
  Morgan Stanley

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.

 

 

Contact Information