Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in February 2019 for Violations of FINRA Rules
According to FINRA Disciplinary actions for February 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:
|
NAME |
FORMER EMPLOYERS |
| Bishop, Tywan | Charles Schwab & Co., Inc |
| ETrade Securities | |
| Borja, Mauricio | Allstate Financial Services, LLC |
| Conrekas, Edward | J.W. Cole Financial, Inc. |
| Morgan Stanley | |
| Delaney, Glen | Newbridge Securities Corp |
| Craig Scott Capital, LLC | |
| Flaningan, Joel | NYLife Securities LLC |
| Synergy Investment Services, LLC | |
| Hovermale, Jeffrey | Sovereign Legacy Securities, Inc |
| Family Income Planning, Inc | |
| Marnelego, Christopher | First Standard Financial Company LLC |
| Merriman Capital, Inc | |
| Ness, Valerie | |
| O’Neal, Tristan | Northwestern Mutual Investment Services, LLC |
| Trotter, Aaron | JP Morgan Securities LLC |
| Capital One Bank | |
| Vrazel, Patsy | |
| Worthington, Bruce | Founders Financial Securities LLC |
| Commonwealth Financial Network |
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.