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Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules

According to FINRA Disciplinary actions for July 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

  Bender, Charles III   Suntrust Investment Services, Inc
  JP Morgan Securities LLC
  Bingham, Daniel   Essex Securities LLC
  Investors Capital
  Diehlman, Kurt   Investacorp, Inc
  Schneider Securities, Inc
  D’Meo, James   Kenneth, Jerome & Co, Inc
  Equity Services, Inc
  Gallacher, David   LPL Financial LLC
  AG Edwards & Sons Inc
  Giraldo, Jose   Merrill Lynch, Pierce, Fenner & Smith Inc
  David Lerner Associates
  Goebel, Kyle
  Gonzalez, Fernando   PNC Investments
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Gurrola, Kenneth   Muriel Siebert & Co., Inc
  Kaufman Bros, LP
  Harris, Adrianna   Charles Schwab & Co., Inc
  Hose, Audrey   UBS Financial Services Inc
  Knowles, Jeffrey   LPL Financial LLC
  Ameriprise Financial Services, Inc
  Laishes, Brian   Investacorp, Inc
  Commonwealth Financial Network
  May, Timothy   One America Securities, Inc
  Signator Investors, Inc
  Noto, Philip   First Standard Financial Company
  Alexander Capital, LP
  Saljooki, Yousuf   Worden Capital Management LLC
  SW Financial
  Scarfone, Bryce   HSBC Securities
  Siegel, Craig   Portfolio Advisors Alliance, LLC
  John Thomas Financial
  Roger Takami   Voya Financial Advisors, Inc
  LPL Financial Corporation
  Thurman, Purnell   Park Avenue Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Wernig, Charles III   Voya Financial Advisors, Inc
  Kestra Investment Services, LLC
  Zhang, Xtangyu   Wells Fargo Clearing Services, LLC
  LPL Financial LLC

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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