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

According to FINRA Disciplinary actions for November 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

  Jose Arizmendi   Silber Bennett Financial, Inc
  TCFG Wealth Management, LLC
  Tani Balas   SCF Securities, Inc
  Klopp Agency
  Mauricio Borja   Allstate Financial Services, LLCX
  Brian Coffey   National Financial Services LLC
  Fidelity Brokerage Services LLC
  Rita Dulya   Kovack Securities Inc.
  Pro-Integrity Securities, Inc
  Makiaha Evans
  Brendan Feitelberg   United Planners’ Financial Services of America
  LPL Financial LLC
  Edgar Guzman-Gonzalez   JP Morgan Securities LLC
  Mario Jimenez   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America, N. A.
  Frantz Justafort   JP Morgan Securities LLC
  Chase Investment Services Corp.
  Linda Lin
  Nicholas Maddox   TCFG Wealth Management, LLC
  U.S. Bancorp Investments, Inc.
  Gustavo Madrigal-Flores   J.P. Morgan Securities LLC
  Virginia Nichols   LPL Financial LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Jeffrey Offen   Craft Capital Management LLC
  Salomon Whitney Financial
  Issac Onu   NY Life Securities LLC
  Wells Fargo Advisors, LLC
  Michael Resciniti   Spartan Capital Securities, LLC
  First Standard Financial Company LLC
  Mark Sachse   Ameriprise Financial Services,  Inc.
  Robert W. Baird & Co Inc.
  James Schwede
  Zachary Sherry Jr.   NYLIfe Securities LLC
  Christopher Simonds   Edward Jones
  Kimberly Sredich
  Dudley Stephens   Coastal Equilites, Inc
  Prospera Financial Services, Inc
  Divanna Tejeda   JP Morgan Securities LLC
  Chase Investment Services Corp
  Derrick Trussell   PFS Investments Inc.
  Primerica Financial Services
  Rick Walker   Morgan Stanley
  Citigoup Global Markets Inc
  James Walters II   Edward Jones
  Mohamed Yassin   National Securities Corporation
  Morgan Stanley

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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