A National Securities Arbitration & Investment Fraud Law Firm

Facebook IconTwitter IconLinkedIn IconJustia IconFeed Icon

Published on:

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

According to FINRA Disciplinary actions for November 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
  Acree, Sandra   Fidelity Services LLC
  Ader, Debra
  Baker, Andrew   Suntrust Investment Services, Inc
  Wells Fargo Advisors, LLC
  Bermingham, Reed   Commonwealth Financial Network
  Manning Wealth Management
  Brackett, Michael   Sterne Agee Financial Services, Inc
  Transamerica Financial Advisors, Inc
  Childs, Margareta   Western Financial Securities
  Financial West Group
  Chinn, Pete   HD Vest Investment Securities, Inc
  Pete Chinn Accountancy Corp
  Credle, Eric   Pruco Securities, LLC
  Prudential Insurance Co
  Dreesm David   Ameriprise Financial Services
  Edwards, George   Edward Jones
  Cetera Investment Services LLC
  Harris, Jason   Edward Jones
  Lowery, Jack Jr.   Ameriprise Financial Services
  NBC Securities, Inc
  Pullin, Oivia
  Ryan, Stephen   MML Investors Services, LLC
  NYLife Securities LLC
  Sears, Vernon Jr.   Wells Fargo Clearing Services, LLC
  Raymond James & Associates, Inc
  Soliman, Fadi   IBN Financial Services, Inc
  Ameriprise Financial Services, Inc.

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