{"id":7703,"date":"2019-01-30T16:03:49","date_gmt":"2019-01-30T21:03:49","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7703"},"modified":"2020-03-23T12:16:48","modified_gmt":"2020-03-23T16:16:48","slug":"in-january-2019-finra-suspends-registered-individuals-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-january-2019-finra-suspends-registered-individuals-for-violations-of-finra-rules\/","title":{"rendered":"In January 2019 FINRA Suspends Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2019, 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\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Alfaro, Jennifer<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Chase Bank<\/td>\n<\/tr>\n
\u00a0 Austin, Aaron<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 M&T Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Austin, Phillip<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp<\/td>\n<\/tr>\n
\u00a0\u00a0Bogdan, David<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Cash, Robert<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Conner Youn<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Dass, Anukul<\/td>\n\u00a0 NY Life Securities LLC<\/td>\n<\/tr>\n
\u00a0 NY Life Insurance<\/td>\n<\/tr>\n
\u00a0 De La Mora, Rosalba<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Erhart, Peter<\/td>\n\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Ferraro, Andrew<\/td>\n\u00a0 State Farm VP Management<\/td>\n<\/tr>\n
\u00a0 Andrew Ferraro Insurance Agency<\/td>\n<\/tr>\n
\u00a0 Hafen, Herbert<\/td>\n\u00a0 Wells Fargo Clearing Services LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Hamm, Brandon<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Haynes, Keith<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Community Trust Bank<\/td>\n<\/tr>\n
\u00a0 Jain, Anubhav<\/td>\n\u00a0 Goldman Sachs & Co LLC<\/td>\n<\/tr>\n
\u00a0 Deutsche Bank Securities<\/td>\n<\/tr>\n
\u00a0 Jefferson, Vladimir<\/td>\n\u00a0 Wells Fargo Securities LLC<\/td>\n<\/tr>\n
\u00a0 Century Park Capital Partners<\/td>\n<\/tr>\n
\u00a0\u00a0 Jones, Marques<\/td>\n\u00a0 Bank of America<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith<\/td>\n<\/tr>\n
\u00a0 Lastrapes, Lisa<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith<\/td>\n<\/tr>\n
\u00a0 USAA Financial Advisors<\/td>\n<\/tr>\n
\u00a0 Mak, Adrienne<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services<\/td>\n<\/tr>\n
\u00a0 Martin, Robert<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Scottrade, Inc<\/td>\n<\/tr>\n
\u00a0 McKinney, Roxana<\/td>\n\u00a0 Deutsche Bank Securities Inc<\/td>\n<\/tr>\n
\u00a0 Park Avenue Securites<\/td>\n<\/tr>\n
\u00a0 Merlo, Robert<\/td>\n\u00a0 Allstate Financial Services<\/td>\n<\/tr>\n
\u00a0 Pruco Securities<\/td>\n<\/tr>\n
\u00a0 Norris, Timothy<\/td>\n\u00a0 BMO Harris Financial Advisors<\/td>\n<\/tr>\n
\u00a0 Harrisdirect LLC<\/td>\n<\/tr>\n
\u00a0 Owen, Steven<\/td>\n\u00a0 PFS Investments Inc<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services<\/td>\n<\/tr>\n
\u00a0 Peskar,Denise<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 The Prudential Insurance Co<\/td>\n<\/tr>\n
\u00a0 Pico, Marc<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 MML Investors Services<\/td>\n<\/tr>\n
\u00a0 Renison, Thomas<\/td>\n\u00a0 Horace Mann Investors<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services<\/td>\n<\/tr>\n
\u00a0 Shin, Jameson<\/td>\n\u00a0 LPL Financial<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Smith, Michael<\/td>\n\u00a0 Farmers Financial Solutions<\/td>\n<\/tr>\n
\u00a0 Cornell, Stanley<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith<\/td>\n<\/tr>\n
\u00a0 Bank of America<\/td>\n<\/tr>\n
\u00a0 Stutzer, Wayne<\/td>\n\u00a0 RBC Capital Markets, LLC<\/td>\n<\/tr>\n
\u00a0 Sutro & Co Incorporated<\/td>\n<\/tr>\n
\u00a0 Tarica Jr., Perry<\/td>\n\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 A.G. Edwards & Sons<\/td>\n<\/tr>\n
\u00a0 Uribe, Juan<\/td>\n\u00a0 Wells Fargo Clearing LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities<\/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 January 2019, 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 Alfaro, Jennifer \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-7703","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn January 2019 FINRA Suspends Registered Individuals for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — January 30, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2019, the following individuals were 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