A National Securities Arbitration & Investment Fraud Law Firm

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

According to FINRA Disciplinary actions for October 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:



  Gregory Adamo   Allstate Financial Services, LLC
  National Securities Corporation
  Ricardo Bustamante   J.P. Morgan Securities LLC
  Bustamante Family Legacy LLC
  Daniel Flores   Woodbury Financial Services, Inc
  Princor Financial Services Corporation
  Jose Giraldo   Merrill Lynch, Pierce, Fenner & Smith Inc
  David Lerner Associates, Inc
  Joshua Krize   Wells Fargo Clearing Services, LLC
  Country Capital Management Company
  Francine Lanaia   Windsor Street Capital, LP
  Meyers Associates LP
  Scott Miozzi   NYLife Securities LLC
  Daniel Moore
  Scott Newbanks   KMS Financial Services, Inc
  United Planners’ Financial Services of America
  Yousuf Saljooki   Worden Capital Management LLC
  Salomon Whitney Financial
  Jameson Shin   LPL Financial LLC
  Wells Fargo Advisors LLC
  Margaret Sterr   M Holding Securities, INC
  Catalyst Solutions Group, Inc
  Francisco Valenzuela   Morgan Stanely
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Bryce Vance   Farmers Financial Solutions, LLC
  Jackie Wadsworth   IMS Securities Inc
  Retirement Investment Group
  Stephen Williams   LPL Financial LLC
  Edward Jones
  Eric Zimmer   LPL Financial LLC
  Edward Jones


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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