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

According to FINRA Disciplinary actions for July 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

  Alan Demond Garrett   Fidelity Brokerage Services LLC
  Shawn Arthur Goding   Allstate Financial Services, LLC
  Shawn Goding Insurance
  Ramon Arturo Herrera   Wells Fargo Clearing Services, LLC
  Michael Dennis Jackson   Securities America, Inc
  Brecek & Young Advisors, Inc
  Mandee Khu   J.P. Morgan Securities LLC
  Chase Investment Services Corp
  Spencer Joseph Lassetter   Fidelity Brokerage Services LLC
  Andrea Marie Milinkovic   PNC Investments
  Suntrust Investment Services, Inc
  Stephen Allen Murray   Raymond James & Associates, Inc
  Morgan Keegan & Company, Inc
  George James Oldoerp   H. Beck, Inc
  Diversified Securities, Inc
   Mary E. Olson
  Paul Joseph Prestia   Laidlaw & Company
  Network 1 Financial Securities, Inc
  Amanda Justine Sarabia
  David Warren Taylor   Lincoln Financial Securities Corporation

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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