{"id":7441,"date":"2018-12-18T14:08:01","date_gmt":"2018-12-18T19:08:01","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7441"},"modified":"2018-12-18T14:08:01","modified_gmt":"2018-12-18T19:08:01","slug":"registered-individuals-barred-by-finra-in-november-2018-for-failure-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-by-finra-in-november-2018-for-failure-to-comply-with-finra-rules\/","title":{"rendered":"Registered Individuals Barred by FINRA in November 2018 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

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:<\/p>\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 Denise Canez<\/td>\n<\/td>\n<\/tr>\n
\u00a0 James Flynn<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Voya Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 Glenn Grosek<\/td>\n\u00a0 Citizens Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Phillip Johnson<\/td>\n\u00a0 D.H. Hill Securities, LLP<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc<\/td>\n<\/tr>\n
\u00a0 Lloyd Johnston<\/td>\n\u00a0 Capital Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 BP&J \/ LLC<\/td>\n<\/tr>\n
\u00a0 Robin Lomont<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Bradley Pace<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 A.J. Pace & Co, Inc<\/td>\n<\/tr>\n
\u00a0 Damian Serret<\/td>\n\u00a0 PFS Investments Inc<\/td>\n<\/tr>\n
\u00a0 James Ward<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Stephen Yaworsky<\/td>\n\u00a0 Raymond James Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Bancwest Investment Services, Inc.<\/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","protected":false},"excerpt":{"rendered":"

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 \u00a0 Denise Canez \u00a0 James Flynn \u00a0 IFS […]<\/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-7441","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Barred by FINRA in November 2018 for Failure to Comply with 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 individuals 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