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FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for April 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:



  Austin, Phillip   JP Morgan Securities
  Chase Investment Services
  Bishop, Tywan   Charles Schwab & Co
  E Trade Securities
   Delaney, Glen   Newbridge Securities
  Craig Scott Capital
  Erhart, Peter   Ameriprise Financial Services
  IDS Life Insurance Company
  Hafen, Herbert   Wells Fargo Clearing Services
  Morgan Stanley
  Anubhavm Jain   Goldman Sachs & Co
  Deutsche Bank Securities, Inc
  O’Neal, Tristan   Northwestern Mutual Investment Services
  Owen, Steven   PFS Investments Inc
  Ameriprise Financial Services
  Pico, Marc   LPL Financial LLC
  MML Investors Services
  Renison, Thomas   Horace Mann Investors, Inc
  Northwestern Mutual Investment Services
  Smith, Michael   Farmers Financial Solutions, LLC
  Trotter, Aaron   JP Morgan Securities LLC

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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