A National Securities Arbitration & Investment Fraud Law Firm

FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2020

According to FINRA Disciplinary actions for January 2020, 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:

  Bressman, Michael   FCG Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Dannenberg, Stephanie
  Dineen, Mary Ann   UBS Financial Services Inc.
  Fagenson, David   Newbridge Securities Corp
  UBS Financial Services Inc.
  Figueroa, Mark   Spartan Capital Securities, LLC
  Arive Capital Markets
  Freeman, Michael   Spartan Capital Securities
  Legend Securities, Inc
  Kopatz, Karen   Raymond James & Associates, Inc
  Morgan Keegan & Company, Inc
  Morgan, Gregory   Allstate Financial Services, LLC
  ProEquities, Inc
  Rayner, Wesley   Santander Securities LLC
  JP Morgan Securities
  Rodriquez, Jordan   NYLife Securities LLC
  Spyrka, Michael   Hold Brothers Capital
  Stow, Frederick   Raymond James & Associates
  Wells Fargo Advisors, LLC
  Taylor, Dennis   Taylor Capital Mgmt
  Independent Financial Group
 Tarner, Cynthia
  Wetherell, Mark   Kovack Securities Inc
  Invest Financial Corportion
  Wilk, Jason   Worden Capital Mgmt
  Craft Capital Mgmt
  Wright, Marcus   Farmers Financial Solutions, LLC
  JP Morgan Securities LLC

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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