{"id":6405,"date":"2018-08-21T08:17:29","date_gmt":"2018-08-21T12:17:29","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6405"},"modified":"2018-08-21T08:17:29","modified_gmt":"2018-08-21T12:17:29","slug":"in-july-2018-finra-bars-registered-individuals-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-july-2018-finra-bars-registered-individuals-for-violations-of-finra-rules\/","title":{"rendered":"In July 2018 FINRA Bars Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 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:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
\n

NAME<\/strong><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/td>\n<\/tr>\n

\u00a0 Fernando Enrique Acosta<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Paul Anthony Bustamante<\/td>\n\u00a0 Empire Asset Management Company<\/td>\n<\/tr>\n
\u00a0 Bishop, Rosen & Co, Inc<\/td>\n<\/tr>\n
\u00a0Janna L. Carruth-Vogler<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Xavier Dwight Clinton<\/td>\n\u00a0 J.P.\u00a0 Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Massachusetts Mutual Life Ins Co<\/td>\n<\/tr>\n
\u00a0 Thomas Matthew Dunlap<\/td>\n\u00a0 AXA Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Saima Ashraf Durrani<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0\u00a0 Joshua David Ellis<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 BCG Securities, Inc<\/td>\n<\/tr>\n
\u00a0\u00a0 James Benjamin Farris<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Samuel LaWayne Haddix<\/td>\n\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Mark Anthony Hernandez<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Christopher Lee Hibbard<\/td>\n\u00a0\u00a0Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Abed William Lulu<\/td>\n\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Michael Ray Matos<\/td>\n\u00a0 J.P.\u00a0 Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael Patrick Nanto<\/td>\n\u00a0 J.P.\u00a0 Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Mutual of Omaha Investor Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Albert John Papada<\/td>\n\u00a0 Horace Mann Investors, Inc<\/td>\n<\/tr>\n
\u00a0 Zachary T. Rawson<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America, NA<\/td>\n<\/tr>\n
\u00a0 Anteneh A. Roberts<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Jeanette Maria Sanchez<\/td>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.\u00a0 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.<\/p>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases through FINRA arbitration or court.\u00a0 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<\/a>.\u00a0 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.<\/p>\n

 <\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for July 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 \u00a0 Fernando Enrique Acosta \u00a0 Paul Anthony Bustamante […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577],"tags":[],"class_list":["post-6405","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn July 2018 FINRA Bars Registered Individuals for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — August 21, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2018, the following individuals were barred from 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