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

According to FINRA Disciplinary actions for May 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
  Bang, Gregory   NYLife Securities LLC
  Bishop, Tywan   Charles Schwab & Co, Inc
  ETrade
  Block, Gabriel   First Standard Financial Company LLC
  National Securities Corporation
  Duchan, Patricia   UBS Financial Services Inc
  Hovermale, Jeffrey   Sovereighn Legacy Securities, Inc
  Sigma Financial Corporation
  Kane, Jordan   Citizens Securities, Inc
  Martinez, Joseph   Pruco Securities, LLC
  The Prudential Insurance Company of America
  Norris, Timothy   BMO Harris Financial Advisors, Inc
  HarrisDirect LLC
  Weldon, Benjamin   State Farm VP Mgmt Corp
  Ben Weldon Insurance Agency

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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