Securities Arbitration Lawyers BlogRegistered 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.