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FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules

According to FINRA Disciplinary actions for October 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:

  Acca, Lisa   Arive Capital Markets
  Global Arena Capital Partners
  Bailey, Michael   PFS Investments
  Primerica Financial Services
  Bartley, Jevon   Merrill Lynch, Pierce, Fenner & Smith
  Bank of America
  Bisch, Sara   Santander Securities
  Edward Jones
  Shanks, Anita
  Gonzales, Edward
  Hegarty, Adrian   JP Morgan Securities
  Citigroup Global Markets
  Kraft, David   Morgan Stanley
  Wells Fargo Advisors
  La Gala, Anthony
  Lundstrom, Jeffrey   Signator Investors
  Transamerica Financial Advisors
  Madril, Michael   Wells Fargo Clearing Services
  Mazza, Vincent   National Securities Corp
  Kovak Securities
  McClellan, Richard   LPL Financial
  MML Investors Services
  Murano, Marc   JP Turner & Company
  Muraya, Benson
  Nurrain, Merle
  Olsen, Blair   Lincoln Investment
  Legend Equitities Corp
  Sandhu, Angad
  Scarfone, Bryce   HSBC Securities (USA) Inc
  Sperring, Donald Jr.   AXA Advisors LLC
 The Equitable Lie Assurance Society of the United States
  Su, Zachary   JP Morgan Securities
  World Financial Group
  Uwechue, Anthony   JP Morgan Securities
  Chase Investment Serivces
  Wright, Tiana   Northwestern Mutual Investment Services

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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