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FINRA Suspends Registered Individuals for Violations of FINRA Rules in September 2018

According to FINRA Disciplinary actions for September 2018, 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

  Denise Canez
  John Drill   Northwestern Mutual Investment Services LLC
  Robert Baird & Co Incorporated
  Glenn Grosek   Citizens Securities, Inc
  Prunco Securities, LLC
  Edgar Guzman-Gonzalez   JP Morgan Securities LLC
  JP Morgan Chase Bank
  Donald Heitz   LPL Financial LLC
  First Command Financial Planning, Inc.
  Gretchen Jenkins   LPL Financial LLC
  ESL Investment Services, LLC
  Phillip Johnson   D.H. Securities, LLLP
  Suntrust Investment Services, Inc
 Christopher Landa   LPL Financial LLC
  Principal Securities, Inc.
  Robin Lomont
  Jeffrey Offen   Craft Capital Management LLC
  Salomon Whitney Financial
  Shawn Palmer   LPL Financial LLC
  Woodbury Financial Services, Inc
  Somning Pheth   Wells Fargo Clearing Services, LLC
  Wells Fargo Bank NA
  Phillip Schreiner   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Damian Serret   PFS Investments Inc
  Primerica Financial Services
  Charles Suhar   The Huntington Investment Company
  LPL Financial LLC
  Zachary Swords   Farmers Financial Solutions, LLC
  Bryce Vance   Farmers Financial Solutions, LLC
  Stephen Yaworsky   Raymond James Financial Services, Inc.
  Bancwest Investment Services, Inc.

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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