A National Securities Arbitration & Investment Fraud Law Firm

FINRA Suspends Registered Individuals For Violations Of FINRA Rules

According to FINRA Disciplinary actions for December 2019, 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

  DiLiberto, Jesse   Fidelity Brokerage Services LLC
  Wilmington Capital Securities, LLC
  Fry, Stephen   Woodbury GFinancial Services, Inc.
  H.D. Investment Services
  Gonzalez, Sofia   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Johnson, Timothy Jr.   MML Investors, LLC
  Suntrust Investment Services, Inc
  Karney, Amogh
  McGuire, Jesse   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Mostert, John   Quest Capital Strategies, Inc.
  Intersecurities, Inc
  Murray, Robert   SW Financial
  Joseph Stone Capital LLC
  Stokes, Dain   LPL Financial LLC
  Edward Jones

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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