A National Securities Arbitration & Investment Fraud Law Firm

In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for April 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:



  Acca, Lisa   Arive Capital Markets
  Global Arena Capital Corp
  Boggs, Marcus   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Bougopoulos, Nicholas   Wells Fargo Securities, LLC
  Stifel Financial Corp
  Cardwell, Harlan   Prospera Financial Services
  Oxford Financial Group
  Cash, Robert   JP Morgan Securities LLC
  Golan, Rafael   Crystal Bay Securities
  Independent Financial Group, LLC
  Gomez, Edwin   PFS Investments Inc
  Primerica Financial Services
  Irazarry, Melissa   LPL Financial LLC
  Invest Financial Corporation
  Knowles, Jeffrey   LPL Financial LLC
  Ameriprise Financial Services
  LaMarca, Charles   Benjamin & Jerold Brokerage I, LLC
  Meridian Equity Partners, Inc
  Lastrapes, Lisa   Merrill Lynch, Pierce, Fenner & Smith Inc
  USAA Financial Advisors, Inc
  Laveck, David   MML Investors Services, LLC
  MSI Financial Services
  Lee, Kevin   JP Morgan Securities
  AXA Advisors, LLC
  William Maurer   Voya Financial Partners
  Nye, Jason   The O.N. Equity Sales Company
  UBS Painewebber Inc
  Sercia, Anthony   Traderfield Securities Inc
  Legend Securities
  Soto, Rani   Prudential Investment Management
  AllianceBernstein Investments
  Stanley, Cornell Jr.   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America, N.A.
  Tarica, Perry Jr.   Wells Fargo Clearing Services, LLC
  A. G. Edwards & Sons, Inc
  Torres, John   JP Morgan Securities

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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