{"id":7483,"date":"2019-01-03T08:54:44","date_gmt":"2019-01-03T13:54:44","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7483"},"modified":"2019-01-03T08:54:44","modified_gmt":"2019-01-03T13:54:44","slug":"registered-individuals-barred-by-finra-in-december-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-barred-by-finra-in-december-2018-for-violations-of-finra-rules\/","title":{"rendered":"Registered Individuals Barred by FINRA in December 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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\n
\n

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

\n

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

\u00a0 Adamo, Gregory<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 National Securities Corp<\/td>\n<\/tr>\n
\u00a0 Drill, John<\/td>\n\u00a0 Northwestern Mutual Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Robert Baird\u00a0 & Co. Inc<\/td>\n<\/tr>\n
\u00a0 Flores, Daniel<\/td>\n\u00a0 Woodbury Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Princor Financial Services Corp<\/td>\n<\/tr>\n
\u00a0 Giraldo, Jose<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 David Lerner Assoc, Inc<\/td>\n<\/tr>\n
\u00a0 Heitz, Donald<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 First Command Financial Planning, Inc<\/td>\n<\/tr>\n
\u00a0 Jenkins, Elisabeth<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 ESL Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Krize, Joshua<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Country Capital Management Co<\/td>\n<\/tr>\n
\u00a0 Lanaia, Francine<\/td>\n\u00a0 Windsor Street Capital, LP<\/td>\n<\/tr>\n
\u00a0 Alexander Capital, LP<\/td>\n<\/tr>\n
\u00a0 Moore, Daniel<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Palmer, David<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Woodbury Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Pheth, Somning<\/td>\n\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 Sachse, Mark<\/td>\n\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Robert W. Baird & Co, Inc<\/td>\n<\/tr>\n
\u00a0 Schreiner, Phillip<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc<\/td>\n<\/tr>\n
\u00a0 Sterr, Margaret<\/td>\n\u00a0 M Holdings Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Catalyst Solutions Group<\/td>\n<\/tr>\n
\u00a0 Suhar, Charles<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Swords, Zachary<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Valenzuela, Francisco<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith, 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

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

According to FINRA Disciplinary actions for December 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 Adamo, Gregory \u00a0 Allstate Financial Services, 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-7483","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Barred by FINRA in December 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — January 3, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2018, the following individuals 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