{"id":7706,"date":"2019-01-30T16:06:23","date_gmt":"2019-01-30T21:06:23","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7706"},"modified":"2019-01-30T16:06:23","modified_gmt":"2019-01-30T21:06:23","slug":"finra-disciplinary-actions-for-january-2019-name-individuals-barred-for-failure-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-disciplinary-actions-for-january-2019-name-individuals-barred-for-failure-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Disciplinary Actions for January 2019 Name Individuals Barred for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2019, 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\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Balas, Tami<\/td>\n\u00a0 SCF Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Klopp Agency<\/td>\n<\/tr>\n
\u00a0 Bustamante, Ricardo<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Bustamante Family Legacy, LLC<\/td>\n<\/tr>\n
\u00a0 Coffey, Brian<\/td>\n\u00a0 National Financial Services LLC<\/td>\n<\/tr>\n
\u00a0 Fidelity Broker Services LLC<\/td>\n<\/tr>\n
\u00a0 Dulya, Rita<\/td>\n\u00a0 Kovak Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Pro-Integrity Securities<\/td>\n<\/tr>\n
\u00a0 Evans, Makisha<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Feitelnerg, Brendan<\/td>\n\u00a0 United Planners Financial Services<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Jimenez, Mario<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America<\/td>\n<\/tr>\n
\u00a0 Justafort, Frantz<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services<\/td>\n<\/tr>\n
\u00a0 Maddox, Nicholas<\/td>\n\u00a0 TCFG Wealth Management LLC<\/td>\n<\/tr>\n
\u00a0 US Bancorp Investments<\/td>\n<\/tr>\n
\u00a0 Gustavo Madrigal-Flores<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Miozzi, Scott<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Newbanks, Scott<\/td>\n\u00a0 KMS Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 United Planners Financial Services<\/td>\n<\/tr>\n
\u00a0 Nichols, Viginia<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Resciniti, Michael<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 First Standard Financial Company<\/td>\n<\/tr>\n
\u00a0 Sherry Jr., Zachary<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 NY Life Insurance Co<\/td>\n<\/tr>\n
\u00a0 Simonds, Christopher<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Local Property LLC<\/td>\n<\/tr>\n
\u00a0 Tejeda, Divanna<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services<\/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
\u00a0Wadsworth, Jackie<\/td>\n\u00a0 IMS Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Retirement Investment Group<\/td>\n<\/tr>\n
\u00a0 Walker, Rick<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc<\/td>\n<\/tr>\n
\u00a0 Walters, James II<\/td>\n\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Williams, Stephen<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Yassin, Mohamed<\/td>\n\u00a0 National Securities Corp<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/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 January 2019, 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 Balas, Tami \u00a0 SCF Securities, Inc \u00a0 […]<\/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-7706","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Disciplinary Actions for January 2019 Name Individuals Barred for Failure to Comply with 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 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