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

According to FINRA Disciplinary actions for June 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

  Anderzejewski, Bryan   Dean Bradley Osbourne Partners LLC
  Morgan Stanley & Co Inc
  Boggs, Marcus   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Gennity, William   First Standard Financial Company
  Alexander Capital, LP
  Gomez, Edwin   PFS Investments Inc.
  Primerica Financial Services
  LaMarca, Charles   Benjamin & Jerold Brokerage I, LLC
  Meridian Equity Partners, Inc
  Laveck, David   MML Investors Services, LLC
  MSI Financial Services, Inc
  Won Lee, Kevin   J.P. Morgan Securities LLC
  AXA Advisors, LLC
  Maurer, William   Voya Financial Partners, LLC
  Nye, Jason   The O.N. Equity Sales Company
  UBS Paine Webber Inc.
  Sercia, Anthony   Traderfield Securities, Inc.
  Legend Securities, Inc
  Torres, John   JP Morgan Securities LLC
  Wells Fargo Bank
  Whiting, David   Alternative Asset Investment Mgmt. Services
  HD Vest Investment Services

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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