A National Securities Arbitration & Investment Fraud Law Firm

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:



  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.



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