{"id":6677,"date":"2018-10-02T08:48:36","date_gmt":"2018-10-02T12:48:36","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6677"},"modified":"2018-10-02T08:48:36","modified_gmt":"2018-10-02T12:48:36","slug":"finra-bars-registered-individuals-in-september-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-in-september-2018-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in September 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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

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

\n

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

\u00a0 Mona Ali<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Chase Bank<\/td>\n<\/tr>\n
\u00a0 Bobbie Jo Besler<\/td>\n\u00a0 Farmers Financial Solutions<\/td>\n<\/tr>\n
\u00a0 State Farm VP Mgmt Corp<\/td>\n<\/tr>\n
\u00a0 Jeffrey Cederberg<\/td>\n\u00a0 Primex<\/td>\n<\/tr>\n
\u00a0 Capwest Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Vincente Davila<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Alan Garett<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Ramon Herrera<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Mandee Khu<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 John Maccoll<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley DW Inc.<\/td>\n<\/tr>\n
\u00a0 Felipe Munive<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Gordan Nitka<\/td>\n\u00a0 MML Investor Services, LLC<\/td>\n<\/tr>\n
\u00a0 MassMutual Life Insurance Co<\/td>\n<\/tr>\n
\u00a0 Daniel Ochao<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 George Oldoerp<\/td>\n\u00a0 H Beck, Inc.<\/td>\n<\/tr>\n
\u00a0 Diversified Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Mary Olsen<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Paul Prestia<\/td>\n\u00a0 Laidlaw & Company LTD<\/td>\n<\/tr>\n
\u00a0 Network 1 Financial Securities Inc.<\/td>\n<\/tr>\n
\u00a0 David Taylor<\/td>\n\u00a0\u00a0Lincoln Financial Securities Corp<\/td>\n<\/tr>\n
\u00a0 Christopher Threet<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Capital One Bank<\/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 September 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 Mona Ali \u00a0 JP Morgan Securities LLC […]<\/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-6677","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in September 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — October 2, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2018, the following individuals were barred 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