Securities Arbitration Lawyers BlogIn 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:
|
NAME |
FORMER EMPLOYERS |
| 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.