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FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules

According to FINRA Disciplinary actions for November 2019, 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:

  Ajayi, Emmanuel   JP Morgan Securites LLC
  HSBC Securities (USA) Inc
  Arts, Christopher   Scarsdale Equities LLC
  Leeb Brokerage Services
  Bennett, Jamie   Silber Bennett Financial Inc
  Silver Portal Capital LLC
  Bishop, Tywan   Charles Schwab & Co
  E  Trade Securities
  Borja, Mauricio   Allstate Financial Services
  Botner, Ryan   MML Invrstors Services, LLC
  Northwestern Mutual Investment Services
  Encino, Stephen   NY Life Securities
  Freeman, Michael   Spartan Capital Securities
  Legend Securities
  Fries, Scott   Transamerica Financial Advisors, Inc
  NYLife Securities
  Mannera, Samuel   Wells Fargo Clearing Serivces
  Merrill Lynch, Pierce, Fenner and Smith Inc
 Navarre, Michael   Farmers Financial Solutions, LLC
  NY Life Securities LLC
  Oplinger, Todd   IFS Securities
  Ridgeway & Conger
  Persaud, Karishma (Susy)
  Rangel, Jesse   TD Ameritrade
  Morgan Stanley
  Ricker, Gregory   Westpark Capital, Inc
  National Securities Corp
  Thrush, Steven   Summitt Brokerage Services, Inc
  Cambridge Investment Research, Inc
  Washington, Robert

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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