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In January 2019 FINRA Suspends Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for January 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
  Alfaro, Jennifer   JP Morgan Securities LLC
  JP Morgan Chase Bank
  Austin, Aaron   LPL Financial LLC
  M&T Securities, Inc
  Austin, Phillip   JP Morgan Securities LLC
  Chase Investment Services Corp
  Bogdan, David   Fidelity Brokerage Services LLC
  Cash, Robert   JP Morgan Securities LLC
  Conner Youn
  Dass, Anukul   NY Life Securities LLC
  NY Life Insurance
  De La Mora, Rosalba   JP Morgan Securities
  Erhart, Peter   Ameriprise Financial Services, Inc
  IDS Life Insurance Company
  Ferraro, Andrew   State Farm VP Management
  Andrew Ferraro Insurance Agency
  Hafen, Herbert   Wells Fargo Clearing Services LLC
  Morgan Stanley
  Hamm, Brandon   Wells Fargo Clearing Services, LLC
  Haynes, Keith   LPL Financial LLC
  Community Trust Bank
  Jain, Anubhav   Goldman Sachs & Co LLC
  Deutsche Bank Securities
  Jefferson, Vladimir   Wells Fargo Securities LLC
  Century Park Capital Partners
   Jones, Marques   Bank of America
  Merrill Lynch, Pierce, Fenner & Smith
  Lastrapes, Lisa   Merrill Lynch, Pierce, Fenner & Smith
  USAA Financial Advisors
  Mak, Adrienne   JP Morgan Securities LLC
  Chase Investment Services
  Martin, Robert   JP Morgan Securities
  Scottrade, Inc
  McKinney, Roxana   Deutsche Bank Securities Inc
  Park Avenue Securites
  Merlo, Robert   Allstate Financial Services
  Pruco Securities
  Norris, Timothy   BMO Harris Financial Advisors
  Harrisdirect LLC
  Owen, Steven   PFS Investments Inc
  Ameriprise Financial Services
  Peskar,Denise   Pruco Securities, LLC
  The Prudential Insurance Co
  Pico, Marc   LPL Financial LLC
  MML Investors Services
  Renison, Thomas   Horace Mann Investors
  Northwestern Mutual Investment Services
  Shin, Jameson   LPL Financial
  Wells Fargo Advisors
  Smith, Michael   Farmers Financial Solutions
  Cornell, Stanley   Merrill Lynch, Pierce, Fenner & Smith
  Bank of America
  Stutzer, Wayne   RBC Capital Markets, LLC
  Sutro & Co Incorporated
  Tarica Jr., Perry   Wells Fargo Clearing Services
  A.G. Edwards & Sons
  Uribe, Juan   Wells Fargo Clearing LLC
  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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