{"id":7438,"date":"2018-12-18T14:03:50","date_gmt":"2018-12-18T19:03:50","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7438"},"modified":"2020-03-23T12:24:26","modified_gmt":"2020-03-23T16:24:26","slug":"finra-suspends-registered-individuals-in-november-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-november-2018-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for November 2018, 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:<\/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\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 Jose Arizmendi<\/td>\n\u00a0 Silber Bennett Financial, Inc<\/td>\n<\/tr>\n
\u00a0 TCFG Wealth Management, LLC<\/td>\n<\/tr>\n
\u00a0 Tani Balas<\/td>\n\u00a0 SCF Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Klopp Agency<\/td>\n<\/tr>\n
\u00a0 Mauricio Borja<\/td>\n\u00a0 Allstate Financial Services, LLCX<\/td>\n<\/tr>\n
\u00a0 Brian Coffey<\/td>\n\u00a0 National Financial Services LLC<\/td>\n<\/tr>\n
\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Rita Dulya<\/td>\n\u00a0 Kovack Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Pro-Integrity Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Makiaha Evans<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Brendan Feitelberg<\/td>\n\u00a0 United Planners\u2019 Financial Services of America<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edgar Guzman-Gonzalez<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Mario Jimenez<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America, N. A.<\/td>\n<\/tr>\n
\u00a0 Frantz Justafort<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Linda Lin<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Nicholas Maddox<\/td>\n\u00a0 TCFG Wealth Management, LLC<\/td>\n<\/tr>\n
\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Gustavo Madrigal-Flores<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Virginia Nichols<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Jeffrey Offen<\/td>\n\u00a0 Craft Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Issac Onu<\/td>\n\u00a0 NY Life Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Michael Resciniti<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 First Standard Financial Company LLC<\/td>\n<\/tr>\n
\u00a0 Mark Sachse<\/td>\n\u00a0 Ameriprise Financial Services,\u00a0 Inc.<\/td>\n<\/tr>\n
\u00a0 Robert W. Baird & Co Inc.<\/td>\n<\/tr>\n
\u00a0 James Schwede<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Zachary Sherry Jr.<\/td>\n\u00a0 NYLIfe Securities LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Simonds<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Kimberly Sredich<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Dudley Stephens<\/td>\n\u00a0 Coastal Equilites, Inc<\/td>\n<\/tr>\n
\u00a0 Prospera Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Divanna Tejeda<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Derrick Trussell<\/td>\n\u00a0 PFS Investments Inc.<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Rick Walker<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Citigoup Global Markets Inc<\/td>\n<\/tr>\n
\u00a0 James Walters II<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Mohamed Yassin<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\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","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for November 2018, 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 \u00a0 Jose Arizmendi \u00a0 Silber Bennett Financial, Inc […]<\/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-7438","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — December 18, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2018, the following 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