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Registered Individuals Barred by FINRA in December 2018 for Violations of FINRA Rules

According to FINRA Disciplinary actions for December 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

  Adamo, Gregory   Allstate Financial Services, LLC
  National Securities Corp
  Drill, John   Northwestern Mutual Investment Services, LLC
  Robert Baird  & Co. Inc
  Flores, Daniel   Woodbury Financial Services, Inc
  Princor Financial Services Corp
  Giraldo, Jose   Merrill Lynch, Pierce, Fenner & Smith Inc
  David Lerner Assoc, Inc
  Heitz, Donald   LPL Financial LLC
  First Command Financial Planning, Inc
  Jenkins, Elisabeth   LPL Financial LLC
  ESL Investment Services, LLC
  Krize, Joshua   Wells Fargo Clearing Services, LLC
  Country Capital Management Co
  Lanaia, Francine   Windsor Street Capital, LP
  Alexander Capital, LP
  Moore, Daniel
  Palmer, David   LPL Financial LLC
  Woodbury Financial Services, Inc
  Pheth, Somning   Wells Fargo Clearing Services
  Sachse, Mark   Ameriprise Financial Services, Inc
  Robert W. Baird & Co, Inc
  Schreiner, Phillip   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith, Inc
  Sterr, Margaret   M Holdings Securities, Inc
  Catalyst Solutions Group
  Suhar, Charles   The Huntington Investment Company
  LPL Financial LLC
  Swords, Zachary   Farmers Financial Solutions, LLC
  Valenzuela, Francisco   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith, Inc

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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