Registered Individuals Barred by FINRA in November 2018 for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for November 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
Denise Canez
James Flynn	IFS Securities
	Voya Financial Advisors, Inc
Glenn Grosek	Citizens Securities, Inc
	Pruco Securities, LLC
Phillip Johnson	D.H. Hill Securities, LLP
	Suntrust Investment Services, Inc
Lloyd Johnston	Capital Financial Services, Inc
	BP&J / LLC
Robin Lomont
Bradley Pace	LPL Financial LLC
	A.J. Pace & Co, Inc
Damian Serret	PFS Investments Inc
James Ward	Northwestern Mutual Investment Services, LLC
Stephen Yaworsky	Raymond James Financial Services, Inc
	Bancwest Investment Services, 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.