In July 2018 FINRA Bars Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for July 2018, 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
Fernando Enrique Acosta
Paul Anthony Bustamante	Empire Asset Management Company
	Bishop, Rosen & Co, Inc
Janna L. Carruth-Vogler
Xavier Dwight Clinton	J.P.  Morgan Securities LLC
	Massachusetts Mutual Life Ins Co
Thomas Matthew Dunlap	AXA Advisors LLC
Saima Ashraf Durrani	J.P. Morgan Securities LLC
	Chase Investment Services Corp
Joshua David Ellis	LPL Financial LLC
	BCG Securities, Inc
James Benjamin Farris	Merrill Lynch, Pierce, Fenner & Smith Inc
	UBS Financial Services Inc
Samuel LaWayne Haddix	Ameriprise Financial Services, Inc
	IDS Life Insurance Company
Mark Anthony Hernandez	UBS Financial Services Inc
	Morgan Stanley
Christopher Lee Hibbard	Merrill Lynch, Pierce, Fenner & Smith Inc
Abed William Lulu	Worden Capital Management LLC
	Rockwell Global Capital LLC
Michael Ray Matos	J.P.  Morgan Securities LLC
Michael Patrick Nanto	J.P.  Morgan Securities LLC
	Mutual of Omaha Investor Services, Inc.
Albert John Papada	Horace Mann Investors, Inc
Zachary T. Rawson	Merrill Lynch, Pierce, Fenner & Smith Inc
	Bank of America, NA
Anteneh A. Roberts	Merrill Lynch, Pierce, Fenner & Smith Inc
	PNC Investments
Jeanette Maria Sanchez

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.