Securities Arbitration Lawyers BlogFINRA 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.