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FINRA Suspends Registered Individuals in June 2019 for Violations of FINRA Rules

According to FINRA Disciplinary actions for June 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

  Andrews, Carolyn   UBS Financial Services Inc.
  Morgan Keegan & Company, Inc
  Avent, Meiewyn   Alliance-One Investments, LLC
  Metlife Investors Distribution Company
  Bougopoulkos, Nicholas   Wells Fargo Securities, LLC
  Stifel Financial Corp
  Cook, Marian   Farmers Financial Solutions, LLC
  Corley, Robert   Fidelity Brokerage Services LLC
  Redstone Securities, Inc
  Detamore, Craig   Allstate Financial Services, LLC
  Dysart, Jennifer
  Friedman, Steven   Ameriprise Financial Services, Inc
  IDS Life Insurance Company
  Garcia, Francisco   Park Avenue Securities
  EQ Financial Consultants Inc
  Griffin, Sparkle   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Heilman, Peter   Edward Jones
  High, Robert   First Financial Equity Corp
  Chase Investment Services Corp
  Irizarry, Melissa   LPL Financial LLC
  Invest Financial Corp
  LaBare, Richard   Union Capital Company
  Morgan Stanley & Co Inc
  Mariampolski, Arnold   AXA Advisors
  Ohel, Ziv   CFD Investments, Inc
  Ameriprise Financial Services, Inc
  Ortega, James   Allstate Financial Services, LLC
  Powers, Robert   Emerging Growth Equities, LTD
  Roth Capital Partners, LLC
  Rubio, Miguel   State Farm VP Management Corp
  Soto, Rani   Prudential Investment Mgmt Services LLC
  Alliance Bernstein Investments, Inc
  Thompson-Owens, Terrell
  Thurman, Purnell   Park Avenue Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Yasso, Brandon   JP Morgan Securities 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.

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