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FINRA’s March 2019 Disciplinary Actions Name Individuals Barred for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for March 2019, the following individuals were barred 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

  Alfaro, Jennifer   JP Morgan Securities
  Austin, Aaron   LPL Financial LLC
  M & T Securities, Inc
  Conner, Youn
  Das, Anukul   NYLife Securities
  Nayeli, Rosalba   JP Morgan Securities LLC
  Wells Fargo
  Ferraro, Andrew   State Farm VP Mgmt Group
  Chris Ferraro Insurance Agency
  Fidelman, Peter   Bradley Woods & Co
  Griffen Securities Inc
  Gaston, Frantz   State Farm VP Mgmt
  Frantz Gaston Jr. Insurance Agency
  Guillory, Michael   Financial West Group
  The Shemano Group, Inc
  Hamm, Brandon   Wells Fargo Clearing Services
  Hartigan, John   Entrustpermal Securities LLC
  Calyon Financial Inc
  Jones, Marques   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Merlo, Robert   Allstate Financial Services
  Pruco Securities
  Norris, Timothy   BMO Harris Financial Advisors
  HarrisDirect LLC
  Olsen, Eric   NYLIfe Securities LLC
  Wellsfargo
  Perez, Paul   Investcorp, Inc
  Fintegra LLC
  Sullivan, Daniel Erich   Wunderlich Securities
  Chapdelaine & Co
  Uribe, Juan   Wells Fargo Clearing Services
  JP Morgan Securities LLC
  Wilson, Vance   Wells Fargo Clearing Serices
  Fidelity Brokerage Services
  Witt, Robert   Voya Financial Adisors
  ING Financial Partners

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

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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