Securities Arbitration Lawyers BlogFINRA 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:
| NAME | FORMER EMPLOYERS |
| 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.