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In February 2019, FINRA Bars Registered Individuals Due to Violations of FINRA Rules

According to FINRA Disciplinary actions for February 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

  Arizmendi, Jose   Silber Bennett Financial, Inc
  TCFG Wealth Management, LLC
  Barrick, Tabor   FBL Marketing Services, LLC
  Allstate Financial Services, LLC
  Bogdan, David   Fidelity Brokerage
  Conklin, Jeffrey   The Huntington Investment Company
  Huntington National Bank
 Cottone, Anthony    Landolt Securities, Inc
  Legion Capital
  Crocker, Sierra   Voya Financial Partners
  Suntrust Bank
  Gaston, Frantz   State Farm VP Management Corp
  Frantz Gaston Jr. Insurance Agency
  Peter Gomez   NYLife Securities LLC
  New York Life Insurance Co
  Harris, Dionna   Vanguard Marketing Corporation
  Henry, Omar   Cetera Advisors LLC
  JP Morgan Securities LLC
  King, Erin   Wells Fargo Clearing Services, LLC
  Wells Fargo Bank
  Lin, Linda
  Lossing, Christopher   LPL Financial LLC
  Edward Jones
  McNeill, Randolph   Buckman, Buckman & Reid, Inc
  Garden State Securities
  Minichino, Richard   Next Financial Group, Inc
  Wunderlich Securities, Inc
  Nicholl, Timothy
  Onu, Isaac   NYLife Securities LLC
  Wells Fargo Advisors, LLC
  Peskar, Denise   Pruco Securities, LLC
  The Prudential Insurance Co of America
  Schwede, Jaime
  Simon, Justin   NYLife Securities LLC
  Country Capital Management Co
  Sredich, Kimberly
  Stephens, Dudley   Coastal Equities, Inc
  Prospera Financial Services, Inc
  Strawn, Brandon
  Tinsley, Sean   Park Avenue Securities LLC
  AXA Advisors, LLC
  Trussell, Derrick   PFS Investments Inc
  Vailiancourt Jr., Peter   Fidelity Brokerage Services LLC
  Wood, Daniel   LPL Financial LLC
  Morgan Stanley Smith Barney
  Wright, Bryan   Pruco Securities, LLC
  The Prudential Insurance Company of America

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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