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FINRA Suspends Registered Individuals For Violations Of FINRA Rules

According to FINRA Disciplinary actions for April 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:

NAME FORMER EMPLOYERS
  Timothy Crowley   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  David Del Rio   LPL Financial LLC
  Suntrust Investment Services, Inc.
  Christian Evans   Morgan Stanley
  Highland Capital Funds Distributor, Inc.
  Mary Frassetto   Thrivent Investment Management Inc.
  Jennifer Holmes   Voya Financial Advisors, Inc.
  ING Financial Partners,Inc.
  Yee Yee Htwe   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Farmers Financial Solutions, LLC
  Randy Jackson   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  E*Trade Securities LLC
  Scott Levine   Craft Capital Management LLC
  PHX Financial, Inc.
  Megan McAlinden
  Hiep Quoc Nguyen   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Citizens Securities, Inc.
  Grizelle Perez   USCA Securities LLC
  Sanders Morris Harris LLC
  Michael Spyrka   Hold Brothers Capital LLC
  Koyote Trading LLC
  Jason Wilk   Worden Capital Management LLC
  Craft Capital Management LLC
  John Wyshak   Raymond James & Associates, Inc.
  Wedbush SecuritiesInc.

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 toll free at (800) 975-4345 or email ssilver@silverlaw.com 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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