We are providing FREE consultations via PHONE or VIDEO conferencing for your safety and convenience. Read More!

A National Securities Arbitration & Investment Fraud Law Firm

FINRA Suspends Registered Individuals in August 2018 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for August 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
  Lindsey Brown
  Michael Dalton   Charles Schwab & Co., Inc
  William Downing   Coastal Equities, Inc.
  J.W. Cole Financial, Inc.
  James Flynn   IFS Securities
  VOYA Financial Advisors, Inc
  Keven Gayle   NY Life Securities LLC
  Lloyd Johnston   Capital Financial Services, Inc
  Legacy Financial Services, Inc
  John Kurzhal   UBS Financial Services Inc
  Beatriz Lira   State Farm VP Management Corp
  Beatriz Lira Insurance Company
  Cristhelle Medina   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Bradley Pace   LPL Financial LLC
  A.J. Pace & Co, Inc.
  Ivan Reyes   Alexander Capital, L.P.
  Craft Capital Management LLC
  David Rodgers   Allstate Financial Services, LLC
  Rodgers Capital Management
  Michael Sekusky
  Jimmy Tran   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Anthony Valois   PHX Financial, Inc
  Meyers Associates, L.P.
  James Ward   Northwestern Mutual Investment Services, 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.

 

Contact Information